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- Warnings (unauthorised firms and other entities)
In accordance with the regulations applicable to the securities markets, CNMV may disseminate any information necessary for the purposes of investor protection and, in particular, issue warnings to the public.
Investment through unauthorised entities involves high risk of loss of capital, since they act outside the scope of the controls established by supervisory bodies. In addition, to create confusion, some use mentions to CNMV to transmit security in their investments.
To prevent this, both CNMV and other foreign regulators disseminate warnings about entities that may be providing investment services without being duly authorised to do so.
Likewise, it is considered that it may be of interest from the perspective of investor protection to inform about other entities that do not have any type of authorisation and are not registered for any purpose with CNMV which could be carrying on some type of fund-raising activity or providing a financial service.
Warnings issued by CNMV
Entities not authorised by CNMV ("boiler rooms"): This section warns about entities and/or persons that may be providing investment services or carrying on other activities subject to CNMV’s supervision without having the necessary authorisation to do so.
Other entities: This section provides information on entities that do not have any type of authorisation and are not registered for any purpose with CNMV which could be carrying on some type of fund-raising activity or providing a financial service. The list is not exhaustive and has been obtained mainly through searches and analysis carried out on the internet and social networks. Inclusion on the list does not mean that a formal decision has been issued as to whether or not the possible activity of the corresponding entities complies with current regulations.
Warnings from foreign supervisors
Use the Search engine for unauthorised entities to find out whether an entity has been included in one of the above mentioned public alert groups. To use this engine, type the entity’s full name, or a part of it.
To verify whether or not an entity is authorised to provide a specific investment service, please use this search engine.