Alerts from foreign regulators. unauthorised entities
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
Date | Targeted companies | Document (English) | Regulator | Comments |
21/10/2020 |
-
NORDEN WEALTH MANAGEMENT (CLON)
|
| FCA (REINO UNIDO) | LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA NORDEN FONDSMEGLERFORRETNING AS |
11/01/2023 |
|
| FCA (REINO UNIDO) | |
02/12/2020 |
-
NOVAK PETER FINANCIAL ADVISORS & SOLUTIONS (CLON)
|
| 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)
|
| FCA (REINO UNIDO) | |
23/09/2020 |
|
| FCA (REINO UNIDO) | |
11/01/2023 |
|
| FCA (REINO UNIDO) | |
30/09/2020 |
|
| FCA (REINO UNIDO) | |
22/06/2016 |
-
NOMURA LEVY MERGERS & ACQUISITIONS (CLON)
|
| FCA (REINO UNIDO) | |
16/12/2020 |
-
NATIONAL REFUND DEPARTMENT / NATIONAL UK REFUND DEPARTMENT
|
| FCA (REINO UNIDO) | |
14/12/2022 |
|
| FCA (REINO UNIDO) | |
Consultation criteria: By type unauthorised entities, By initial N.