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As a member of the European Securities and Markets Authority (ESMA) and of the International Organization of Securities Commissions (IOSCO), the CNMV regularly receives alerts issued by foreign securities regulators on companies that are not authorised to provide investment services in the countries listed in the alerts.

This page lists alerts shared with the CNMV directly by other countries' supervisory bodies or transmitted centrally through the ESMA. However, we are unable to list on this page alerts transmitted by supervisory bodies to IOSCO. We therefore recommend that you also check out the following webpage: Investor Alerts Portal

The CNMV warns that the information on this page has been provided by foreign supervisory bodies, which assume responsibility for the contents of such information.

Search for warnings on companies whose names start with

Click the heading of the "Date" column or of the "Targeted companies" column to sort results in ascending/descending order.

Page 47 out of 49
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
26/10/2011
  • THOMSON MCKINNON CAPITAL CORP.
A warning PDF of date 26/10/2011 (new window) SFSA (SUECIA) 
14/10/2015
  • THE LAW OFFICE OF JOHN S MARTIN
A warning PDF of date 14/10/2015 (new window) SFSA (SUECIA) 
12/03/2014
  • THE CORLISS GROUP
A warning PDF of date 12/03/2014 (new window) SFSA (SUECIA) 
17/09/2008
  • THE LYON GROUP INC.
A warning PDF of date 17/09/2008 (new window) SFSA (SUECIA) 
11/11/2015
  • THUNGEN FINANCIAL
A warning PDF of date 11/11/2015 (new window) SFSA (SUECIA) 
06/02/2008
  • THE ALLIANCE GROUP
A warning PDF of date 06/02/2008 (new window) SFSA (SUECIA) 
31/10/2007
  • TRANSATLANTIC GROUP MERGERS AND ACQUISITIONS
A warning PDF of date 31/10/2007 (new window) SFSA (SUECIA) 
20/12/2006
  • TRUST GROUP INTERNATIONAL
A warning PDF of date 20/12/2006 (new window) SFSA (SUECIA) 
28/11/2007
  • TRI CAPITAL MANAGEMENT
A warning PDF of date 28/11/2007 (new window) SFSA (SUECIA) 
11/06/2014
  • TAXWISE CONSULTANTS / FINANCIAL COMPENSATION AUTHORITY
A warning PDF of date 11/06/2014 (new window) SFSA (SUECIA) 

Consultation criteria: By type unauthorised entities, By initial T.