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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 15 out of 42
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
11/10/2006
  • GOLDMILL WAGNER & ASSOCIATES (COSTA RICA)
A warning PDF of date 11/10/2006 (new window) CSSF (LUXEMBURGO) 
10/11/2010
  • GOLDMANN IMPERIAL CAPITAL
A warning PDF of date 10/11/2010 (new window) SFSA (SUECIA) 
27/02/2019
  • GOLDMANCFD
A warning PDF of date 27/02/2019 (new window) CONSOB (ITALIA) 
10/09/2014
  • GOLDMAN SHAKS (PVT) LTD
A warning PDF of date 10/09/2014 (new window) FCA (REINO UNIDO) 
05/12/2012
  • GOLDMAN SACHS INTERNATIONAL
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO)LA ENITDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE AUTORIZADAS PERTENECIENTES A GOLDMAN SACHS GROUP INC
01/10/2008
  • GOLDMAN SACHS ASIA INVESTMENT MANAGEMENT (HONG KONG) LIMITED
A warning PDF of date 01/10/2008 (new window) SFC (HONG KONG) 
15/03/2017
  • GOLDMAN REEVES LTD
A warning PDF of date 15/03/2017 (new window) FCA (REINO UNIDO) 
23/11/2011
  • GOLDMAN PHILLIPS
A warning PDF of date 23/11/2011 (new window) FSA (REINO UNIDO) 
11/12/2013
  • GOLDMAN CAPITAL
A warning PDF of date 11/12/2013 (new window) AMF (FRANCIA)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON ENTIDADES PERTENECIENTES AL GRUPO GOLDMAN SACHS
11/10/2006
  • GOLDMAN ASSET MANAGEMENT
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 

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