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 26 out of 39
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
02/01/2013
  • LITMUS CAPITAL MANAGEMENT GROUP
A warning PDF of date 02/01/2013 (new window) FSA (REINO UNIDO) 
10/10/2012
  • LAWSON KNIGHT GROUP
A warning PDF of date 10/10/2012 (new window) FSA (REINO UNIDO) 
25/05/2011
  • LYNDON PEARCE
A warning PDF of date 25/05/2011 (new window) FSA (REINO UNIDO) 
24/10/2012
  • LINCON & CARTER ASSOCIATES
A warning PDF of date 24/10/2012 (new window) FSA (REINO UNIDO) 
10/10/2012
  • LEXICON MERGERS AND ACQUISITIONS
A warning PDF of date 10/10/2012 (new window) FSA (REINO UNIDO) 
11/05/2005
  • LANGLEY ADVISORY SERVICES AG
A warning PDF of date 11/05/2005 (new window) FSA (REINO UNIDO) 
12/05/2003
  • LIVINGSTONE ASSET MANAGEMENT
A warning PDF of date 12/05/2003 (new window) FSA (REINO UNIDO) 
19/11/2008
  • LIMBAUGH AND YORK ASSOCIATES
A warning PDF of date 19/11/2008 (new window) FSA (REINO UNIDO) 
28/06/2006
  • LLOYD STANLEY (BASED IN SWITZERLAND)
A warning PDF of date 28/06/2006 (new window) FSA (REINO UNIDO) 
29/06/2011
  • LEGGMASON INVESTORS ASSET MANAGERS PLC
A warning PDF of date 29/06/2011 (new window) FSA (REINO UNIDO) 

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