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 29 out of 35
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
03/11/2010
  • DONNELLY ABERDEEN INTERNATIONAL
A warning PDF of date 03/11/2010 (new window) SFSA (SUECIA) 
08/09/2010
  • DUPONT CONSEILLE AG
A warning PDF of date 08/09/2010 (new window) AFM (PAISES BAJOS) 
07/07/2010
  • DAVID DUKE
A warning PDF of date 07/07/2010 (new window) FSC (ISLA DE MAN) 
02/06/2010
  • DRAGON PARTNERS INC. AND PLATINUM GROUP INTERNATIONAL
A warning PDF of date 02/06/2010 (new window) CBFA (BELGICA) 
19/05/2010
  • DAWSON & FIELDING INC.
A warning PDF of date 19/05/2010 (new window) BCSC (CANADA) 
07/04/2010
  • DIGITS FINANCIAL HONG KONG COMPANY
A warning PDF of date 07/04/2010 (new window) SFC (HONG KONG) 
10/03/2010
  • DAWSON & FIELDING INC.
A warning PDF of date 10/03/2010 (new window) SFSA (SUECIA) 
03/03/2010
  • DAI-ICHI SECURITIES
A warning PDF of date 03/03/2010 (new window) DFSA (DINAMARCA) 
20/01/2010
  • DOUGLAS ELLIS INC
A warning PDF of date 20/01/2010 (new window) FSC (ISLA DE MAN) 
20/01/2010
  • DENKO GROUP
A warning PDF of date 20/01/2010 (new window) FMA (AUSTRIA) 

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