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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 16 out of 24
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
19/07/2017
  • ROTHSCHILD ASSET MANAGEMENT (CLON)
A warning PDF of date 19/07/2017 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DE SIMILAR DENOMINACION.
31/05/2017
  • RIVERSIDE ESCROW LTD (CLON)
A warning PDF of date 31/05/2017 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DE SIMILAR DENOMINACION
31/10/2018
  • ROYAL LONDON ASSET MANAGEMENT (CLON)
A warning PDF of date 31/10/2018 (new window) FCA (REINO UNIDO) 
22/11/2017
  • REDTHORNE REALISATIONS LIMITED (OPERANDO COMO REDTHORNE MARKETS)
A warning PDF of date 22/11/2017 (new window) FCA (REINO UNIDO) 
12/09/2018
  • RUPPEL ALEXANDER (CLON)
A warning PDF of date 12/09/2018 (new window) FCA (REINO UNIDO) 
24/01/2018
  • ROBERT BROOKS LTD (CLON)
A warning PDF of date 24/01/2018 (new window) FCA (REINO UNIDO) 
19/09/2018
  • REDCAP MANAGEMENT
A warning PDF of date 19/09/2018 (new window) FCA (REINO UNIDO) 
30/10/2019
  • RAKUTEN GLOBAL VENTURES, INC.
A warning PDF of date 30/10/2019 (new window) FCA (REINO UNIDO) 
09/04/2014
  • RBC WEALTH MANAGEMENT/ROYAL BANK OF CANADA WEALTH MANAGEMENT
A warning PDF of date 09/04/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON EL GRUPO ROYAL BANK OF CANADA (RBC)
29/01/2014
  • REDFORD SECURITIES INTERNATIONAL
A warning PDF of date 29/01/2014 (new window) FCA (REINO UNIDO) 

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