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 81 out of 87
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
05/12/2017
  • SAPPORO INTERNATIONAL
A warning PDF of date 05/12/2017 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN (BOILER ROOMS).
30/01/2019
  • SAPONE TRADING
A warning PDF of date 30/01/2019 (new window) AFM (PAISES BAJOS) 
31/03/2020
  • SAPONE TRADING
A warning PDF of date 31/03/2020 (new window) FSMA (BELGICA) 
10/07/2019
  • SAPIEN ASSET MANAGEMENT
A warning PDF of date 10/07/2019 (new window) FCA (REINO UNIDO) 
03/02/2021
  • SAPIA CAPITAL / SAPIA TRADE (CLONE)
A warning PDF of date 03/02/2021 (new window) FCA (REINO UNIDO)LAS ENTIDADES ADVERTIDAS NO TIENEN NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE REGISTRADAS SAPIA PARTNERS LLP NI SAPIA CAPITAL PARTNERS LTD.
10/07/2019
  • SAP ONE
A warning PDF of date 10/07/2019 (new window) CSSF (LUXEMBURGO) 
04/01/2012
  • SANWA HOLDINGS
A warning PDF of date 04/01/2012 (new window) FMA (AUSTRIA) 
23/11/2011
  • SANWA HOLDINGS
A warning PDF of date 23/11/2011 (new window) SFSA (SUECIA) 
04/04/2012
  • SANTIAGO MERGERS AND ACQUISITIONS
A warning PDF of date 04/04/2012 (new window) FSA (REINO UNIDO) 
23/03/2011
  • SANTANDER INVESTMENT SECURITIES GROUP
A warning PDF of date 23/03/2011 (new window) SFSA (SUECIA)ESTA SOCIEDAD NO PERTENECE NI TIENE NINGUNA VINCULACION CON GRUPO BANCO SANTANDER CUYA PAGINA WEB ES WWW.SANTANDER.COM

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