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 5 out of 339
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
12/03/2008
  • HACHIRO MERGERS AND ACQUISITIONS
A warning PDF of date 12/03/2008 (new window) SFSA (SUECIA) 
24/10/2007
  • HOPEWOOD AND COMPANY
A warning PDF of date 24/10/2007 (new window) SFSA (SUECIA) 
06/02/2013
  • HAFKIN-ROTH AND SOUTH KOREA DERIVATES EXCHANGE, SKDEX
A warning PDF of date 06/02/2013 (new window) SFSA (SUECIA) 
17/09/2008
  • HIGHLAND INTERNATIONAL ADVISORS
A warning PDF of date 17/09/2008 (new window) SFSA (SUECIA) 
17/09/2008
  • HEINTZMAN, WARREN, WISE & FORNELLA, P.C.
A warning PDF of date 17/09/2008 (new window) SFSA (SUECIA) 
11/04/2012
  • HERITAGE INVESTMENT MANAGEMENT
A warning PDF of date 11/04/2012 (new window) SFSA (SUECIA) 
24/10/2012
  • HTTPS://WWW.CREDIT-EU.SE
A warning PDF of date 24/10/2012 (new window) SFSA (SUECIA) 
19/11/2008
  • HCS WORLDWIDE
A warning PDF of date 19/11/2008 (new window) SFSA (SUECIA) 
09/05/2012
  • HARRIS & JAMES COMPANY LTD.
A warning PDF of date 09/05/2012 (new window) SFSA (SUECIA) 
18/03/2009
  • HARRISON FAIRMOUNT GLOBAL MERGERS & ACQUISITIONS INC
A warning PDF of date 18/03/2009 (new window) SFSA (SUECIA) 

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