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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 606
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
20/01/2016
  • KMJ LIMITED
  • WWW.KMJLTD.COM
A warning PDF of date 20/01/2016 (new window) AFM (PAISES BAJOS (HOLANDA)) 
20/01/2016
  • KIRKWOOD GLOBAL
  • WWW.KIRKWOODGLOBAL.COM
A warning PDF of date 20/01/2016 (new window) AFM (PAISES BAJOS (HOLANDA)) 
15/06/2016
  • FUJI CREDIT ASSET MANAGEMENT
  • WWW.FUJICREDIT.COM
A warning PDF of date 15/06/2016 (new window) AFM (PAISES BAJOS (HOLANDA)) 
23/04/2014
  • CENTURY DIRECT GROUP LTD.
  • WWW.CENTURYDIRECTGROUP.COM
A warning PDF of date 23/04/2014 (new window) AFM (PAISES BAJOS (HOLANDA)) 
26/03/2014
  • HOOVER BRIGHT INDEPENDENT FINANCE ADVISORY
  • WWW.HOOVERBRIGHT.COM
A warning PDF of date 26/03/2014 (new window) AFM (PAISES BAJOS (HOLANDA)) 
05/10/2016
  • ASHWOOD FINANCE
  • WWW.KENJEGROUP.COM
  • JACOB L. CALLAN
  • WWW.JLCALLAN.COM
  • WWW.ASHWOODFINANCE.COM
  • KENJE GROUP
A warning PDF of date 05/10/2016 (new window) AFM (PAISES BAJOS (HOLANDA)) 
10/11/2016
  • MONEX BMO SECURITIES
  • WWW.MONEXFINANCIAL.COM
A warning PDF of date 10/11/2016 (new window) AFM (PAISES BAJOS (HOLANDA)) 
31/07/2019
  • HKS SECURITIES LTD
  • WWW.HKS-SECURITIES.COM
A warning PDF of date 31/07/2019 (new window) AFM (PAISES BAJOS (HOLANDA)) 
31/07/2019
  • ALPHA FINANCIAL GROUP
  • HTTPS://WWW.ALPHAFINANCIALGROUP.COM
A warning PDF of date 31/07/2019 (new window) AFM (PAISES BAJOS (HOLANDA)) 
07/12/2016
  • ORIX CAPITAL TRADING
  • WWW.ORIXTRADING.COM
A warning PDF of date 07/12/2016 (new window) AFM (PAISES BAJOS (HOLANDA)) 

Consultation criteria: By type unauthorised entities.