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 21 out of 28
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
04/07/2018
  • NOMURA AND PARTNERS (CLON)
A warning PDF of date 04/07/2018 (new window) FCA (REINO UNIDO) 
30/09/2020
  • NOMURA BANK (CLON)
A warning PDF of date 30/09/2020 (new window) FCA (REINO UNIDO) 
19/03/2008
  • NOMURA FINANCIAL GROUP
A warning PDF of date 19/03/2008 (new window) SFSA (SUECIA) 
22/06/2016
  • NOMURA LEVY MERGERS & ACQUISITIONS (CLON)
A warning PDF of date 22/06/2016 (new window) FCA (REINO UNIDO) 
21/01/2009
  • NOR FINANS
A warning PDF of date 21/01/2009 (new window) FSAN (NORUEGA) 
08/11/2006
  • NORBERT ASSOCIATES
A warning PDF of date 08/11/2006 (new window) NAFM (PAISES BAJOS) 
27/04/2016
  • NORBERT MACH (CLON)
A warning PDF of date 27/04/2016 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DEL MISMO NOMBRE
07/04/2021
  • NORDEA ASSET MANAGEMENT (CLONE)
A warning PDF of date 07/04/2021 (new window) CSSF (LUXEMBURGO)EL NOMBRE, LOGO Y DIRECCIÓN DE LA ENTIDAD DEBIDAMENTE REGISTRADA EN LUXEMBURGO “NORDEA INVESTMENT FUNDS S.A.” ESTÁN SIENDO UTILIZADOS DE MANERA FRAUDULENTA.
22/02/2023
  • NORDEN FINANCE LIMITED
A warning PDF of date 22/02/2023 (new window) FCA (REINO UNIDO) 
21/10/2020
  • NORDEN WEALTH MANAGEMENT (CLON)
A warning PDF of date 21/10/2020 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA NORDEN FONDSMEGLERFORRETNING AS

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