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 1 out of 88
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
01/12/2004
  • BANCO DE DESARROLLO AGROPECUARIO (BANGADRO)
A warning PDF of date 01/12/2004 (new window) VEN (VENEZUELA) 
23/06/2004
  • BAKER & WHITE
A warning PDF of date 23/06/2004 (new window) SSMA (ESLOVENIA) 
14/06/2006
  • BRYCE AND SONS, LTD
A warning PDF of date 14/06/2006 (new window) SFSA (SUECIA) 
14/01/2009
  • BAKER WHITFIELD ASSOCIATES
A warning PDF of date 14/01/2009 (new window) SFSA (SUECIA) 
10/12/2008
  • BARCLAYS GROUP FINANCIAL INC
A warning PDF of date 10/12/2008 (new window) SFSA (SUECIA) 
02/07/2008
  • BULLMAN ASSET MANAGEMENT
A warning PDF of date 02/07/2008 (new window) SFSA (SUECIA) 
27/10/2010
  • BOSTON CAPITAL MANAGEMENT, INC.
A warning PDF of date 27/10/2010 (new window) SFSA (SUECIA) 
14/10/2015
  • BAXTER CAPITAL VENTURES MANAGEMENT
A warning PDF of date 14/10/2015 (new window) SFSA (SUECIA) 
23/03/2011
  • BOESCH HAUFMANN ASSET MANAGEMENT INC.
A warning PDF of date 23/03/2011 (new window) SFSA (SUECIA) 
17/11/2010
  • BROOKS & HAWTHORNE CONSULTING LTD.
A warning PDF of date 17/11/2010 (new window) SFSA (SUECIA) 

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