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 49 out of 67
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
25/11/2020
  • THE ROYAL LONDON MUTUAL INSURANCE SOCIETY LIMITED (CLON)
A warning PDF of date 25/11/2020 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE REGISTRADAS ROYAL LONDON MUTUAL INSURANCE SOCIETY LIMITED / ROYAL LONDON MARKETING LIMITED
28/02/2007
  • THE ROYAL LONDON BANK OF COMMUNICATIONS
A warning PDF of date 28/02/2007 (new window) FSC (ISLA DE MAN) 
06/07/2005
  • THE ROTH GROUP GMBH
A warning PDF of date 06/07/2005 (new window) FSA (REINO UNIDO) 
27/09/2006
  • THE RITLAND GROUP PTE, LTD.
A warning PDF of date 27/09/2006 (new window) SFSA (SUECIA) 
10/08/2005
  • THE PRESTIGE PERSPECTIVE
A warning PDF of date 10/08/2005 (new window) SFC (HONG KONG) 
09/05/2012
  • THE PINNACLE GROUP
A warning PDF of date 09/05/2012 (new window) EI_CBI (IRLANDA) 
22/02/2012
  • THE PINNACLE GROUP
A warning PDF of date 22/02/2012 (new window) FSA (REINO UNIDO) 
16/01/2019
  • THE PENSION ASSESSMENT AGENCY LTD
A warning PDF of date 16/01/2019 (new window) FCA (REINO UNIDO) 
04/11/2009
  • THE PACIFICWEST FINANCIAL CLEARING HOUSE
A warning PDF of date 04/11/2009 (new window) FSC (ISLA DE MAN) 
07/10/2009
  • THE PACIFICWEST FINANCIAL CLEARING HOUSE
A warning PDF of date 07/10/2009 (new window) FSC (ISLA DE MAN) 

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