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 11 out of 35
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
17/11/2010
  • ROTHMAN SECURITIES OG ROTHMAN OFFSHORE
A warning PDF of date 17/11/2010 (new window) FSAN (NORUEGA) 
10/11/2010
  • RICHMOND LLOYDS INTERNATIONAL
A warning PDF of date 10/11/2010 (new window) FSAN (NORUEGA) 
13/06/2012
  • RELIANCE CAPITAL
A warning PDF of date 13/06/2012 (new window) FSA (REINO UNIDO) 
30/11/2005
  • RIDGEWELL CAPITAL MARKETS
A warning PDF of date 30/11/2005 (new window) FSA (REINO UNIDO) 
24/10/2012
  • ROBERTSON ELLIS
A warning PDF of date 24/10/2012 (new window) FSA (REINO UNIDO) 
01/08/2012
  • RICHARD RAMSDEN
A warning PDF of date 01/08/2012 (new window) FSA (REINO UNIDO)LA PERSONA ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON UN EMPLEADO DE GOLDMAN SACHS INTERNATIONAL CON EL MISMO NOMBRE
06/06/2012
  • RG-CLIENT
A warning PDF of date 06/06/2012 (new window) FSA (REINO UNIDO) 
30/05/2012
  • RICHARD ADAMSON
A warning PDF of date 30/05/2012 (new window) FSA (REINO UNIDO)LA PERSONA ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON UN EMPLEADO DE BANK OF SCOTLAND DEL MISMO NOMBRE
06/06/2012
  • ROBERT GOLD IFA ASSOCIATES
A warning PDF of date 06/06/2012 (new window) FSA (REINO UNIDO) 
06/06/2012
  • RYAN & MAHAR LLC
A warning PDF of date 06/06/2012 (new window) FSA (REINO UNIDO) 

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