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 13 out of 28
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
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
11/01/2023
  • NJW CAR SALES
A warning PDF of date 11/01/2023 (new window) FCA (REINO UNIDO) 
02/12/2020
  • NOVAK PETER FINANCIAL ADVISORS & SOLUTIONS (CLON)
A warning PDF of date 02/12/2020 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA NOVAK PETER
30/09/2020
  • NORWICH SAVINGS AND LOANS (CLON)
A warning PDF of date 30/09/2020 (new window) FCA (REINO UNIDO) 
23/09/2020
  • NEO CHAIN / NEO-CHAIN
A warning PDF of date 23/09/2020 (new window) FCA (REINO UNIDO) 
11/01/2023
  • NEXPOINT-GLOBAL
A warning PDF of date 11/01/2023 (new window) FCA (REINO UNIDO) 
30/09/2020
  • NOMURA BANK (CLON)
A warning PDF of date 30/09/2020 (new window) FCA (REINO UNIDO) 
22/06/2016
  • NOMURA LEVY MERGERS & ACQUISITIONS (CLON)
A warning PDF of date 22/06/2016 (new window) FCA (REINO UNIDO) 
16/12/2020
  • NATIONAL REFUND DEPARTMENT / NATIONAL UK REFUND DEPARTMENT
A warning PDF of date 16/12/2020 (new window) FCA (REINO UNIDO) 
14/12/2022
  • NEXUS TRADE
A warning PDF of date 14/12/2022 (new window) FCA (REINO UNIDO) 

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