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 8 out of 28
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
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
08/11/2006
  • NORBERT ASSOCIATES
A warning PDF of date 08/11/2006 (new window) NAFM (PAISES BAJOS) 
21/01/2009
  • NOR FINANS
A warning PDF of date 21/01/2009 (new window) FSAN (NORUEGA) 
22/06/2016
  • NOMURA LEVY MERGERS & ACQUISITIONS (CLON)
A warning PDF of date 22/06/2016 (new window) FCA (REINO UNIDO) 
19/03/2008
  • NOMURA FINANCIAL GROUP
A warning PDF of date 19/03/2008 (new window) SFSA (SUECIA) 
30/09/2020
  • NOMURA BANK (CLON)
A warning PDF of date 30/09/2020 (new window) FCA (REINO UNIDO) 
04/07/2018
  • NOMURA AND PARTNERS (CLON)
A warning PDF of date 04/07/2018 (new window) FCA (REINO UNIDO) 
10/05/2023
  • NOLLY FUNDING
A warning PDF of date 10/05/2023 (new window) CBI (IRLANDA) 
03/08/2022
  • NOIA CAPITAL (CLONE)
A warning PDF of date 03/08/2022 (new window) CSSF (LUXEMBURGO)LA CSSF ADVIERTE QUE LA ENTIDAD ADVERTIDA CONTACTA CON POTENCIALES INVERSORES UTILIZANDO CORREOS ELECTRÓNICOS CON LA ESTRUCTURA NOMBRE.APELLIDO@NOIA-CAPITAL.FR . LA ENTIDAD ADVERTIDA NO GUARDA RELACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA EN LUXEMBURGO “NOIA CAPITAL S.À R.L.”
01/06/2022
  • NOFICO BANK
A warning PDF of date 01/06/2022 (new window) FSMA (BELGICA) 

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