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 811 out of 1164
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
14/03/2012
  • NORTHERN CAPITAL
A warning PDF of date 14/03/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDAD DEBIDAMENTE AUTORIZADA Y REGISTRADA NORTHERN CAPITAL DENAMARK S/A NI CON LA ENTIDAD BRITÁNICA NORTHERN CAPITAL DENMARK LTD.
14/03/2012
  • HARRISON-STOLTZ & ASSOCIATES
  • WWW.HARRISON-STOLZ.COM
A warning PDF of date 14/03/2012 (new window) FSA (REINO UNIDO) 
23/02/2011
  • BERRSCOTT, ELLIOTT & ASSOCIATES
  • WWW.BERRSCOTTELLIOTT.COM
A warning PDF of date 23/02/2011 (new window) FSA (REINO UNIDO) 
23/02/2011
  • STANTON GOLDSTEIN
  • WWW.STANTONGOLDSTEIN.COM
A warning PDF of date 23/02/2011 (new window) FSA (REINO UNIDO) 
14/03/2012
  • REGENT & LANGLEY CONSULTING GROUP
  • WWW.REGENTANDLANGLEYCONSULTING.COM
A warning PDF of date 14/03/2012 (new window) FSA (REINO UNIDO) 
10/10/2012
  • WASHINGTON, D.C. SECURITIES DIVISION
  • WWW.USWSD.ORG
A warning PDF of date 10/10/2012 (new window) FSA (REINO UNIDO) 
10/10/2012
  • STRAUSS JONES
  • WWW.STRAUSSJONES.COM
A warning PDF of date 10/10/2012 (new window) FSA (REINO UNIDO) 
10/10/2012
  • WORLDWIDE INVESTORS PORTFOLIO
  • WWW.WORLDWIDEINVESTMENTSPORTFOLIO.COM
A warning PDF of date 10/10/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACION CON LA ENTIDAD DEL MISMO NOMBRE AUTORIZADA POR LA FSA (SCHEDULE 5)
14/03/2012
  • SUNLINE TRANSFER AGENTS
  • WWW.SUNLINETRANSFER.COM
A warning PDF of date 14/03/2012 (new window) FSA (REINO UNIDO) 
14/03/2012
  • WELLINGTON MANAGEMENT PORTFOLIOS
  • WWW.WELLINGTONMP.COM
A warning PDF of date 14/03/2012 (new window) FSA (REINO UNIDO)NO TIENE VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE AUTORIZADAS WELLINGTON MANAGEMENT INTERNATIONAL LTD; WELLINGTON MANAGEMENT PORTFOLIOS (LUXEMBOURG) Y WELLINGTON MANAGEMENT PORTFOLIOS (DUBLIN) PLC

Consultation criteria: By type unauthorised entities.