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 87 out of 91
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
23/05/2018
  • AXA IM (CLON)
A warning PDF of date 23/05/2018 (new window) FCA (REINO UNIDO) 
19/07/2017
  • AXA IM ASIA (CLON)
A warning PDF of date 19/07/2017 (new window) FCA (REINO UNIDO) 
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.
18/11/2020
  • AXA INVESTMENT MANAGERS / AXA PLC (CLON)
A warning PDF of date 18/11/2020 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA AXA INVESTMENT MANAGERS UK LTD
18/10/2023
  • AXA INVESTMENT MANAGERS IRELAND LIMITED (CLONE)
A warning PDF of date 18/10/2023 (new window) CBI (IRLANDA)LA ENTIDAD ADVERTIDA POR EL CBI, QUE ACTÚA A TRAVÉS DE LAS DIRECCIONES DE CORREO ELECTRÓNICO COMPLIANCE@AXDUBIRELAND.COM ; INFO@AXDUBIRELAND.COM; ACCOUNTS@AXAIM-IRELAND.COM; INFO@AXAIM-IRELAND.COM; JARED-COOK@AXAIM-IRELAND.COM; ACCOUNTS@AXDUBIRELAND.COM; Y ACCOUNTS@AXAIMIRELAND.COM , HA USADO DE MANERA FRAUDULENTA DATOS COMO EL NOMBRE, DIRECCIÓN, LOGO Y NÚMERO DE REGISTRO, DE LA FIRMA AUTORIZADA POR EL CBI DEL MISMO NOMBRE AXA INVESTMENT MANAGERS IRELAND LIMITED, CON QUIEN NO GUARDA NINGUNA CONEXIÓN
26/06/2019
  • AXA INVESTMENT MANAGERS UK LIMITED/ AXA IM ASSET MANAGEMENT (CLON)
A warning PDF of date 26/06/2019 (new window) FCA (REINO UNIDO) 
21/08/2013
  • AXA ISLE OF MAN
A warning PDF of date 21/08/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA AXA ISLE OF MAN LIMITED
20/07/2011
  • AXA ROSENBERG INVESTMENT MANAGEMENT LTD
A warning PDF of date 20/07/2011 (new window) FSA (REINO UNIDO)SIN RELACIÓN CON LA ENTIDAD REGISTRADA EN LA FSA CON EL MISMO NOMBRE
29/03/2023
  • AXAFOREX
A warning PDF of date 29/03/2023 (new window) FCA (REINO UNIDO) 
28/10/2020
  • AXE CAPITAL
A warning PDF of date 28/10/2020 (new window) AFM (PAISES BAJOS) 

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