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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 23
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
15/01/2014
  • REID & STONE VENTURES
A warning PDF of date 15/01/2014 (new window) SFSA (SUECIA) 
23/02/2005
  • REGIONS BANK
A warning PDF of date 23/02/2005 (new window) SFC (HONG KONG) 
08/02/2006
  • RIVERTON FINANCIAL GROUP
A warning PDF of date 08/02/2006 (new window) SFC (HONG KONG) 
16/11/2005
  • ROCKWELL & BOND S A
A warning PDF of date 16/11/2005 (new window) SFC (HONG KONG) 
12/12/2007
  • ROBERT LANG
A warning PDF of date 12/12/2007 (new window) SFC (HONG KONG) 
26/11/2008
  • RIVE FINANCIAL
A warning PDF of date 26/11/2008 (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) 
14/10/2009
  • RICHARD-BLENDMONDE
A warning PDF of date 14/10/2009 (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) 
14/04/2010
  • REICH GLOBAL LTD
A warning PDF of date 14/04/2010 (new window) SFC (HONG KONG) 

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