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 817 out of 1167
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
14/08/2013
  • ADOLPHE FINANCIAL MANAGEMENT
  • WWW.ADOLPHEFINANCIAL.COM
A warning PDF of date 14/08/2013 (new window) CSSF (LUXEMBURGO) 
07/08/2013
  • WWW.CFINVESTLTD.COM
A warning PDF of date 07/08/2013 (new window) CYSEC (CHIPRE)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE AUTORIZADA CF INVEST LTD QUE OPERA A TRAVÉS DE LA PÁGINA WWW.CFIMARKETS.COM
07/08/2013
  • KKR
A warning PDF of date 07/08/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES PERTENECIENTES AL GRUPO KOHLBERG KRAVIS ROBERTS
07/08/2013
  • INI SECURITIES GMBH
  • WWW.INI-SECURITIES.COM
A warning PDF of date 07/08/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE AUTORIZADA INI, SA
07/08/2013
  • BRAUN AND BRAND CONSULTING FIRM
  • WWW.BRAUNBRANDTCONSULTING.COM
A warning PDF of date 07/08/2013 (new window) FCA (REINO UNIDO) 
31/07/2013
  • DEAN WITTER CONSULTANCY (USA)
  • WWW.DEANWITTERCONSULTANCY.COM
A warning PDF of date 31/07/2013 (new window) FCA (REINO UNIDO) 
31/07/2013
  • FIDELITY GLOBAL RECOVERY
A warning PDF of date 31/07/2013 (new window) FCA (REINO UNIDO) 
31/07/2013
  • RUBIN PRICE SECURITIES
  • WWW.RUBINPRICE.COM
A warning PDF of date 31/07/2013 (new window) FCA (REINO UNIDO) 
31/07/2013
  • FUSION CAPITAL MANAGEMENT
A warning PDF of date 31/07/2013 (new window) FCA (REINO UNIDO) 
31/07/2013
  • CAPITAL MARKETS
  • WWW.CAPITALMARKETSUK.COM
A warning PDF of date 31/07/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA CAPITAL MARKETS, O.C.P., A.S.

Consultation criteria: By type unauthorised entities.