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 18 out of 35
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
10/04/2024
  • RIACAPITAL.PRO
A warning PDF of date 10/04/2024 (new window) AMF (FRANCIA) 
13/06/2012
  • RICE FINANCE COMPANY
A warning PDF of date 13/06/2012 (new window) CYSEC (CHIPRE) 
15/11/2023
  • RICH PRIME FINANCE / RICHPRIME FINANCE
A warning PDF of date 15/11/2023 (new window) FCA (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
14/01/2009
  • RICHARD BURGER
A warning PDF of date 14/01/2009 (new window) SSMA (ESLOVENIA) 
20/07/2011
  • RICHARD DAVIES INVESTORS LIMITED
A warning PDF of date 20/07/2011 (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
14/10/2009
  • RICHARD-BLENDMONDE
A warning PDF of date 14/10/2009 (new window) SFC (HONG KONG) 
10/11/2011
  • RICHARDSON & FOSTER PARTNERS
A warning PDF of date 10/11/2011 (new window) FSA (REINO UNIDO) 
05/12/2012
  • RICHARDSON CAPITAL GROUP/RICHARDSON CONSULTANCY
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 

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