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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 3 out of 21
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
21/03/2012
  • RICHMOND GRANT SECURITY & TRANSFER INC.
A warning PDF of date 21/03/2012 (new window) SFSA (SUECIA) 
30/11/2005
  • ROCKWELL & BOND S A
A warning PDF of date 30/11/2005 (new window) SFC (HONG KONG) 
12/12/2007
  • ROBERT LANG
A warning PDF of date 12/12/2007 (new window) SFC (HONG KONG) 
12/12/2007
  • RENE BERGMAN
A warning PDF of date 12/12/2007 (new window) SFC (HONG KONG) 
08/02/2006
  • RIVERTON FINANCIAL GROUP
A warning PDF of date 08/02/2006 (new window) SFC (HONG KONG) 
20/08/2008
  • REYNOLDS GROUP LIMITED
A warning PDF of date 20/08/2008 (new window) SFC (HONG KONG) 
21/10/2009
  • ROCKWOOD M & A
A warning PDF of date 21/10/2009 (new window) SFC (HONG KONG) 
03/02/2010
  • RYER LIMITED
A warning PDF of date 03/02/2010 (new window) SFC (HONG KONG) 
16/03/2005
  • R J MACALLISTOR LTD
A warning PDF of date 16/03/2005 (new window) SFC (HONG KONG) 
16/03/2005
  • ROCKWELL & BOND S A
A warning PDF of date 16/03/2005 (new window) SFC (HONG KONG) 

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