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 20 out of 35
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
22/08/2018
  • RADCLIFFE AND YOUNG ASSET MANAGEMENT/RADCLIFFE AND YOUNG
A warning PDF of date 22/08/2018 (new window) FCA (REINO UNIDO) 
05/09/2018
  • RONGER PROPERTIES BOND / RONGER PROPERTIES (CLON)
A warning PDF of date 05/09/2018 (new window) FCA (REINO UNIDO) 
12/09/2018
  • RUPPEL ALEXANDER (CLON)
A warning PDF of date 12/09/2018 (new window) FCA (REINO UNIDO) 
19/09/2018
  • REDCAP MANAGEMENT
A warning PDF of date 19/09/2018 (new window) FCA (REINO UNIDO) 
31/10/2018
  • ROYAL LONDON ASSET MANAGEMENT (CLON)
A warning PDF of date 31/10/2018 (new window) FCA (REINO UNIDO) 
07/11/2018
  • RWM HOLDINGS
A warning PDF of date 07/11/2018 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN (BOILER ROOMS).
07/11/2018
  • REG INVESTMENT BANK
A warning PDF of date 07/11/2018 (new window) FCA (REINO UNIDO) 
07/11/2018
  • ROYSTON CARR ASSET MANAGEMENT
A warning PDF of date 07/11/2018 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN (BOILER ROOMS).
07/11/2018
  • RED ARC GLOBAL INVESTMENTS PLC (CLON)
A warning PDF of date 07/11/2018 (new window) FCA (REINO UNIDO) 
07/11/2018
  • REED CAVENDISH WEALTH MANAGEMENT
A warning PDF of date 07/11/2018 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN (BOILER ROOMS).

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