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 838 out of 1164
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
19/12/2012
  • FINATA PLC INC
A warning PDF of date 19/12/2012 (new window) CONSOB (ITALIA) 
19/12/2012
  • GLOBAL PARTNERS SECURITIES
  • HTTP://WWW.GLOBALPARTNERSSECURITIES.COM/
A warning PDF of date 19/12/2012 (new window) DFSA (DINAMARCA) 
12/12/2012
  • MERKEL FINANCIAL INCORPORATED
  • HTTP://MERKELFINANCIALINC.COM
A warning PDF of date 12/12/2012 (new window) FSA (REINO UNIDO) 
12/12/2012
  • KESSLER AND PARTNERS
  • WWW.KESSLERANDPARTNERS.COM
A warning PDF of date 12/12/2012 (new window) FSA (REINO UNIDO) 
12/12/2012
  • AWI FINANCIAL
  • WWW.AWIFINANCIAL.COM
A warning PDF of date 12/12/2012 (new window) CMVM (PORTUGAL) 
05/12/2012
  • RABO STRATEGIES
  • WWW.ROGOSBV.COM
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 
05/12/2012
  • BRADFORD SECURITIES LLC
  • WWW.BRADFORDSECURITIESLLC.COM
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 
05/12/2012
  • ONE GLOBAL MANAGEMENT
  • WWW.ONEGLOBALMANAGEMENT.COM
A warning PDF of date 05/12/2012 (new window) SFSA (SUECIA) 
05/12/2012
  • RICHARDSON CAPITAL GROUP/RICHARDSON CONSULTANCY
  • WWW.RICHARDSONCONSULTANCY.COM
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 
05/12/2012
  • MM INSTITUTIONAL
  • WWW.MMINSTITUTIONALADVISORS.COM
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities.