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 966 out of 1166
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
18/07/2012
  • SUMITOMO FINANCIAL CORPORATION
  • WWW.SUMIFINCORP.COM
A warning PDF of date 18/07/2012 (new window) FSA (REINO UNIDO) 
09/05/2012
  • SUMITOMO GLOBAL
  • WWW.SUMITOMOGLOBAL.COM
A warning PDF of date 09/05/2012 (new window) FSAN (NORUEGA) 
21/03/2012
  • SUMITOMO GLOBAL
  • WWW.SUMITOMOGLOBAL.COM
A warning PDF of date 21/03/2012 (new window) DFSA (DINAMARCA) 
12/09/2018
  • SUMITOMO GUNMA HOLDINGS
  • WWW.SGHTRADING.COM
A warning PDF of date 12/09/2018 (new window) DFSA (DINAMARCA) 
26/09/2018
  • SUMITOMO GUNMA HOLDINGS
  • WWW.SGHTRADING.COM
A warning PDF of date 26/09/2018 (new window) FSMA (BELGICA) 
15/04/2009
  • SUMITOMO INTERNATIONAL
  • WWW.SUMITOMOINT.COM
A warning PDF of date 15/04/2009 (new window) SFSA (SUECIA) 
22/01/2014
  • SUMMERS ASSOCIATES LTD
  • WWW.SUMMERASSOCIATESLTD.COM
A warning PDF of date 22/01/2014 (new window) FCA (REINO UNIDO) 
16/12/2015
  • SUMMIT CAPITAL MANAGEMENT
  • WWW.SUMMIT-CM.COM
A warning PDF of date 16/12/2015 (new window) CONSOB (ITALIA) 
18/07/2007
  • SUMMIT CAPITAL MANAGEMENT
A warning PDF of date 18/07/2007 (new window) FSAN (NORUEGA) 
13/08/2008
  • SUMMIT CAPITAL MANAGEMENT
A warning PDF of date 13/08/2008 (new window) CBFA (BELGICA) 

Consultation criteria: By type unauthorised entities.