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 836 out of 1166
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
30/01/2013
  • STANSFIELD PRIVATE EQUITY LTD.
  • WWW.STANSFIELDLTD.COM
A warning PDF of date 30/01/2013 (new window) SFSA (SUECIA) 
30/01/2013
  • SECURITIES TRADING BOARD
  • WWW.GOV.SECTB.ORG
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO) 
30/01/2013
  • PERSIST GLOBAL WEALTH MANAGEMENT
  • WWW.GWMPLONDON.COM
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO) 
30/01/2013
  • PACIFIC CAPITAL MANAGEMENT
  • WWW.PACIFICCAPITALMGMT.COM
  • WWW.PACIFICCM.US
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO) 
30/01/2013
  • MM INSTITUTIONAL
  • WWW.MMINSTITUTIONALADVISORS.COM
  • WWW.MMINSTITUTIONALADVISOR.COM
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO) 
30/01/2013
  • KENSINGTON RESERVE LLC
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO) 
30/01/2013
  • INVESTEC ASSET MANAGEMENT LIMITED
  • WWW.INVESTEC-WEALTH.CO.UK
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE AUTORIZADAS INVESTEC ASSET MANAGEMENT LIMITED (FRN: 122420) E INVESTEC FUND MANAGERS LIMITED (FRN:145007)
30/01/2013
  • COLLINGBOURNE GROUP
A warning PDF of date 30/01/2013 (new window) FSA (REINO UNIDO) 
30/01/2013
  • CIB MALTA
  • HTTP://WWW.CIB-MALTA.EU/SECURED/INDEX.HTML
A warning PDF of date 30/01/2013 (new window) MFSA (MALTA) 
23/01/2013
  • WALTER HARRIS & COMPANY
  • WWW.WALTERHARRISLLC.COM
A warning PDF of date 23/01/2013 (new window) FSA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities.