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 91
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
07/05/2014
  • AXA INVESTMENT MANAGERS (CLON)
A warning PDF of date 07/05/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA Y AUTORIZADA AXA INVESTMENT MANAGERS UK LTD.
19/07/2017
  • AXA IM ASIA (CLON)
A warning PDF of date 19/07/2017 (new window) FCA (REINO UNIDO) 
23/05/2018
  • AXA IM (CLON)
A warning PDF of date 23/05/2018 (new window) FCA (REINO UNIDO) 
06/04/2022
  • AXA BUSINESS SOLUTION LTD
A warning PDF of date 06/04/2022 (new window) CONSOB (ITALIA)LA CONSOB ORDENA A LOS OPERADORES DE INTERNET EL BLOQUEO DE ACCESO DESDE ITALIA A PAGINAS WEB QUE OFRECEN SERVICIOS DE INVERSION SIN ESTAR AUTORIZADAS
12/12/2012
  • AWI FINANCIAL
A warning PDF of date 12/12/2012 (new window) CMVM (PORTUGAL) 
14/06/2023
  • AW FX BANK
A warning PDF of date 14/06/2023 (new window) CONSOB (ITALIA)LA CONSOB ORDENA A LOS OPERADORES DE INTERNET EL BLOQUEO DE ACCESO DESDE ITALIA A PAGINAS WEB QUE OFRECEN SERVICIOS DE INVERSION SIN ESTAR AUTORIZADAS
16/05/2012
  • AW ASSOCIATES
A warning PDF of date 16/05/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE INSCRITA ANDREW WARNER
23/11/2022
  • AVONDALE ICAV (CLONE)
A warning PDF of date 23/11/2022 (new window) CBI (IRLANDA)LA ENTIDAD ADVERTIDA UTILIZA INDEBIDAMENTE EL NOMBRE Y LOS DATOS DE LA ENTIDAD LEGÍTIMAMENTE REGISTRADA EN IRLANDA AVONDALE ICAV
05/08/2020
  • AVIVA PLC / AVIVA BONDS PLC (CLON)
A warning PDF of date 05/08/2020 (new window) FCA (REINO UNIDO) 
05/02/2020
  • AVIVA INVESTORS GLOBAL SERVICES
  • AVIBONDS (CLON)
A warning PDF of date 05/02/2020 (new window) FCA (REINO UNIDO) 

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