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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 2 out of 18
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
03/08/2016
  • UBS GLOBAL INVESTMENT MANAGEMENT LTD (CLON)
A warning PDF of date 03/08/2016 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA CON SIMILAR DENOMINACIÓN
23/09/2020
  • UBS TRADE / UBS TRADING FACILITY (CLON)
A warning PDF of date 23/09/2020 (new window) FCA (REINO UNIDO) 
16/03/2005
  • UBS TRUST PLC
A warning PDF of date 16/03/2005 (new window) JFSC (JERSEY) 
16/03/2005
  • UBS TRUSTCO
A warning PDF of date 16/03/2005 (new window) JFSC (JERSEY) 
05/08/2015
  • UBS WEALTH MANAGEMENT/ UBS GLOBAL WEALTH MANAGEMENT (CLON)
A warning PDF of date 05/08/2015 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DEL MISMO NOMBRE
08/09/2021
  • UFUK GROUP
A warning PDF of date 08/09/2021 (new window) FSMA (BELGICA)LA FSMA ADVIERTE AL PÚBLICO ACERCA DE LAS ACTIVIDADES DE PRESTAMISTAS NO AUTORIZADOS QUE OFRECEN FALSOS CRÉDITOS
23/11/2011
  • UFX BANK
A warning PDF of date 23/11/2011 (new window) FSMA (BELGICA) 
02/12/2009
  • UFXBANK
A warning PDF of date 02/12/2009 (new window) CVM (BRASIL) 
08/08/2007
  • UGC PRIVATE BANKING SERVICES
A warning PDF of date 08/08/2007 (new window) FSC (ISLA DE MAN) 
24/03/2021
  • UK (PROPERTY) FIXED INCOME
A warning PDF of date 24/03/2021 (new window) FCA (REINO UNIDO) 

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