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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 5 out of 18
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
18/07/2007
  • UPCB PRIVE BANCO
A warning PDF of date 18/07/2007 (new window) FSC (ISLA DE MAN) 
18/07/2007
  • UNION TRUST SECURITIES
A warning PDF of date 18/07/2007 (new window) FSC (ISLA DE MAN) 
14/01/2009
  • UBALDI DINO
  • UBALDI CHAMBERS
A warning PDF of date 14/01/2009 (new window) FSC (ISLA DE MAN) 
08/08/2007
  • UNICORN VENTURES
A warning PDF of date 08/08/2007 (new window) FSAN (NORUEGA) 
11/07/2012
  • UNICORN FINANCE GROUP
A warning PDF of date 11/07/2012 (new window) FSA (REINO UNIDO) 
11/05/2005
  • US CAPITAL FX
A warning PDF of date 11/05/2005 (new window) FSA (REINO UNIDO) 
28/11/2012
  • UST FINANCIAL SERVICES CORP.
A warning PDF of date 28/11/2012 (new window) FSA (REINO UNIDO) 
12/05/2003
  • UNION PARTNERS, SL (ANTES GOLDBERG KRAVITZ, SL)
A warning PDF of date 12/05/2003 (new window) FSA (REINO UNIDO)VER ADVERTENCIAS CNMV
16/01/2013
  • UNITED WORLD CAPITAL LTD
A warning PDF of date 16/01/2013 (new window) FSA (REINO UNIDO) 
09/03/2011
  • UTC INTERNATIONAL SERVICES
A warning PDF of date 09/03/2011 (new window) FSA (REINO UNIDO) 

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