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 781 out of 1166
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
12/09/2012
  • JM FINANCIAL SERVICES LTD.
A warning PDF of date 12/09/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD REGISTRADA EN LA FSA CON EL MISMO NOMBRE
12/09/2012
  • GERRARD INVESTMENT MANGEMENT
A warning PDF of date 12/09/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA GERRARD INVESTMENT MANAGEMENT LIMITED
25/07/2012
  • COMPASS FINANCIAL MANAGEMENT
  • WWW.COMPASS-FINANCIAL.CO.CC
A warning PDF of date 25/07/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA COMPASS FINANCIAL MANAGEMENT LLC
08/06/2011
  • SPS INVESTMENTS GMBH
  • WWW.INVESTWITHSPS.COM
A warning PDF of date 08/06/2011 (new window) FSA (REINO UNIDO) 
15/06/2011
  • WOLF INVESTMENT SOLUTIONS
  • WWW.WOLD-INVESTSOL.COM
A warning PDF of date 15/06/2011 (new window) FSA (REINO UNIDO) 
13/06/2012
  • IRWIN MITCHELL
A warning PDF of date 13/06/2012 (new window) FSA (REINO UNIDO) 
13/06/2012
  • BENTALL KENNEDY
  • WWW.BENTALLKENNEDY.COM
A warning PDF of date 13/06/2012 (new window) FSA (REINO UNIDO) 
15/06/2011
  • SANFORD C. BERNSTEIN LIMITED
  • WWW.SCBERNSTEIN.CO.UK
A warning PDF of date 15/06/2011 (new window) FSA (REINO UNIDO) 
06/06/2012
  • ROBERT GOLD IFA ASSOCIATES
  • WWW.ROBERTGOLDASSOCIATES.COM
A warning PDF of date 06/06/2012 (new window) FSA (REINO UNIDO) 
06/06/2012
  • RG-CLIENT
  • WWW.RG-CLIENT.COM
A warning PDF of date 06/06/2012 (new window) FSA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities.