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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 17 out of 18
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
23/08/2006
  • ULSTER BANK INVESTMENT OFFER
A warning PDF of date 23/08/2006 (new window) FSC (ISLA DE MAN) 
14/06/2006
  • USL, UNIVERSAL SAVINGS & LOAN BANK
A warning PDF of date 14/06/2006 (new window) SFSA (SUECIA) 
17/05/2006
  • UTB FINANCE & SECURITY SERVICES
A warning PDF of date 17/05/2006 (new window) FSC (ISLA DE MAN) 
26/04/2006
  • UNIFIED INVESTMENT GROUP INC
A warning PDF of date 26/04/2006 (new window) FSA (REINO UNIDO) 
15/03/2006
  • UNIVERSAL NETWORKS, INC.
A warning PDF of date 15/03/2006 (new window) SFSA (SUECIA) 
13/10/2005
  • UNIVERSAL CREDIT UNION OF SWEDEN ECONOMIC
A warning PDF of date 13/10/2005 (new window) SFSA (SUECIA) 
11/05/2005
  • US CAPITAL FX
A warning PDF of date 11/05/2005 (new window) FSA (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) 
09/02/2005
  • UBHK SECURITIES COMPANY LIMITED
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 

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