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 24 out of 50
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
15/04/2015
  • INVESTEC ASSET MANAGEMENT LIMITED (CLON)
A warning PDF of date 15/04/2015 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DEL MISMO NOMBRE
19/02/2014
  • INVESTEC CAPITAL CORPORATION
A warning PDF of date 19/02/2014 (new window) FCA (REINO UNIDO) 
30/04/2014
  • ING BANK N.V (CLON)
A warning PDF of date 30/04/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEL MISMO NOMBRE QUE ESTÁ DEBIDAMENTE REGISTRADA
07/08/2013
  • INI SECURITIES GMBH
A warning PDF of date 07/08/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE AUTORIZADA INI, SA
12/06/2019
  • INTERNATIONAL SECURITIES LIMITED (OPERANDO COMO BROKERS STATION)
A warning PDF of date 12/06/2019 (new window) FCA (REINO UNIDO) 
04/12/2019
  • INVESTOR SHIELD
A warning PDF of date 04/12/2019 (new window) FCA (REINO UNIDO) 
27/11/2019
  • INVESTMENT CHRONICLE
A warning PDF of date 27/11/2019 (new window) FCA (REINO UNIDO)<HTTPS://WWW.INVESTMENTCHRONICLE.CO.UK/SHORT-TERM/PROPERTY-BOND/?GCLID=EAIAIQOBCHMIRYSOIZDP4GIVBUTTCH19TGAXEAAYAIAAEGIZEFD_BWE>
26/06/2019
  • ICM CAPITAL LIMITED (CLON)
A warning PDF of date 26/06/2019 (new window) FCA (REINO UNIDO) 
03/10/2018
  • INTERFINANCIAL (CLON)
A warning PDF of date 03/10/2018 (new window) FCA (REINO UNIDO) 
22/10/2014
  • INTERNATIONAL MERGERS AND ACQUISITIONS BOARD OF JAPAN
A warning PDF of date 22/10/2014 (new window) FCA (REINO UNIDO) 

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