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 88 out of 91
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
14/12/2011
  • ASHFORD FINANCIAL GROUP, AFG
A warning PDF of date 14/12/2011 (new window) SFSA (SUECIA) 
27/03/2013
  • ARCHIPELAGO CORPORATE SERVICES INC.
A warning PDF of date 27/03/2013 (new window) SFSA (SUECIA) 
20/06/2012
  • ACE FINANCIAL
A warning PDF of date 20/06/2012 (new window) SFSA (SUECIA) 
16/01/2013
  • ADMIRAL COMMODITIES INC.
A warning PDF of date 16/01/2013 (new window) SFSA (SUECIA) 
14/12/2011
  • ASIAN CAPITAL GROUP
A warning PDF of date 14/12/2011 (new window) SFSA (SUECIA) 
23/04/2014
  • ASIAN FUTURES TRADING GROUP
A warning PDF of date 23/04/2014 (new window) SFSA (SUECIA) 
02/07/2014
  • ARIES VENTURES INC
A warning PDF of date 02/07/2014 (new window) SFSA (SUECIA) 
23/04/2014
  • ASHLAND MERGERS & ACQUISITIONS MANAGEMENT
A warning PDF of date 23/04/2014 (new window) SFSA (SUECIA) 
09/04/2014
  • ASIAN ACQUISITION OVERSIGHT COMMITTEE
A warning PDF of date 09/04/2014 (new window) SFSA (SUECIA) 
10/11/2011
  • ATX GROUP AND HOUSTON FUTURES EXCHANGE, HOUFEX
A warning PDF of date 10/11/2011 (new window) SFSA (SUECIA) 

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