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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 1 out of 608
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
06/11/2019
  • TUCKER AND ROSS ADVISERS LLC / TUCKER AND ROSS
  • WWW.TUCKERANDROSS.COM
  • WWW.TUCKERANDROSSADVISORS.COM
A warning PDF of date 06/11/2019 (new window) FCA (REINO UNIDO) 
06/11/2019
  • WWW.PF-GESTION.COM, OPERANDO COMO PREMIUM FUND
A warning PDF of date 06/11/2019 (new window) CSSF (LUXEMBURGO)LA WEB NO GUARDA RELACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA CON EL MISMO NOMBRE, PREMIUM FUND.
06/11/2019
  • 21STOPTIONS
  • HTTPS://21STOPTIONS.COM
A warning PDF of date 06/11/2019 (new window) CSSF (LUXEMBURGO) 
06/11/2019
  • WWW.BAUMANNPARTNERS.COM
A warning PDF of date 06/11/2019 (new window) CSSF (LUXEMBURGO)LA WEB NO TIENE NINGUNA RELACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA BAUMANN & PARTNERS S.A.
30/10/2019
  • RAKUTEN GLOBAL VENTURES, INC.
  • WWW.RAKUTENGLOBALV.COM
A warning PDF of date 30/10/2019 (new window) FCA (REINO UNIDO) 
30/10/2019
  • ALYSA GROUP AND/OR ALYSA FINANCE HOLDING SA, SOCIÉTÉ DE GESTION DE PATRIMOINE FAMILIAL SPF
  • WWW.ALYSA-GROUP.COM
A warning PDF of date 30/10/2019 (new window) CSSF (LUXEMBURGO)LA WEB NO GUARDA RELACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA, ALYSA FINANCE HOLDING S.A.-SPF QUE CESÓ SU ACTIVIDAD EL 13 DE AGOSTO DE 2019.
30/10/2019
  • TRENDINGGRAPHS (PREMIUM SYSTEMS)
  • WWW.TRENDINGGRAPHS.COM
A warning PDF of date 30/10/2019 (new window) FSMA (BELGICA) 
30/10/2019
  • STOCK GLOBAL
  • WWW.STOCKGLOBAL.COM
A warning PDF of date 30/10/2019 (new window) FSMA (BELGICA) 
30/10/2019
  • MARKETCAPITAL
  • WWW.MARKETCAPITAL.CO
A warning PDF of date 30/10/2019 (new window) FSMA (BELGICA) 
30/10/2019
  • CAPITAL PILOTS
  • WWW.CAPITALPILOTS.COM
A warning PDF of date 30/10/2019 (new window) FSMA (BELGICA) 

Consultation criteria: By type unauthorised entities.