Alerts from foreign regulators. unauthorised entities
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
Date | Targeted companies | Document (English) | Regulator | Comments |
23/05/2018 |
|
| FCA (REINO UNIDO) | |
19/07/2017 |
|
| FCA (REINO UNIDO) | |
07/05/2014 |
-
AXA INVESTMENT MANAGERS (CLON)
|
| 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)
|
| 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)
|
| 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)
|
| FCA (REINO UNIDO) | |
21/08/2013 |
|
| 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
|
| FSA (REINO UNIDO) | SIN RELACIÓN CON LA ENTIDAD REGISTRADA EN LA FSA CON EL MISMO NOMBRE |
29/03/2023 |
|
| FCA (REINO UNIDO) | |
28/10/2020 |
|
| AFM (PAISES BAJOS) | |
Consultation criteria: By type unauthorised entities, By initial A.