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 1 out of 334
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
17/04/2013
  • H TAFT PRIVATE EQUITY
A warning PDF of date 17/04/2013 (new window) FCA (REINO UNIDO) 
19/05/2021
  • H&S MANAGEMENT GROUP / H&S FINANCE CONSULTING
A warning PDF of date 19/05/2021 (new window) FMA (AUSTRIA) 
20/09/2006
  • H.B. MANAGEMENT
A warning PDF of date 20/09/2006 (new window) SFSA (SUECIA) 
30/11/2011
  • H.Y. MARKETS
A warning PDF of date 30/11/2011 (new window) FSA (REINO UNIDO) 
16/04/2008
  • HABERMAN BROTHERS INTERNATIONAL
A warning PDF of date 16/04/2008 (new window) SFSA (SUECIA) 
15/06/2005
  • HABIB INVESTMENT BANKING & TRADING COMPANY
A warning PDF of date 15/06/2005 (new window) FSC (ISLA DE MAN) 
12/03/2008
  • HACHIRO MERGERS AND ACQUISITIONS
A warning PDF of date 12/03/2008 (new window) SFSA (SUECIA) 
25/05/2016
  • HADID RAVAN CO. LIMITED
A warning PDF of date 25/05/2016 (new window) FSMA (BELGICA) 
28/03/2012
  • HADLEY RICHARDS
A warning PDF of date 28/03/2012 (new window) FMA (AUSTRIA) 
22/02/2012
  • HADLEY RICHARDS
A warning PDF of date 22/02/2012 (new window) DFSA (DINAMARCA) 

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