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 8 out of 34
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
29/06/2011
  • DC FINANCIAL
A warning PDF of date 29/06/2011 (new window) SFSA (SUECIA) 
20/07/2011
  • DELTA WEST FINANCIAL MANAGEMENT
A warning PDF of date 20/07/2011 (new window) FSAN (NORUEGA) 
03/08/2011
  • DONALDSON AND TURNER LTD.
A warning PDF of date 03/08/2011 (new window) FMA (AUSTRIA) 
10/11/2011
  • DMR CONSULTING LLC
A warning PDF of date 10/11/2011 (new window) SFSA (SUECIA) 
10/11/2011
  • DREXEL-BEARNS CONSULTING GROUP
A warning PDF of date 10/11/2011 (new window) FSA (REINO UNIDO) 
30/11/2011
  • DURDAN HEYER LTD
A warning PDF of date 30/11/2011 (new window) FSA (REINO UNIDO) 
14/12/2011
  • DAILEY SECURITIES, INC.
A warning PDF of date 14/12/2011 (new window) SFSA (SUECIA) 
08/02/2012
  • DI-LA ET THALIA ASSURANCES
A warning PDF of date 08/02/2012 (new window) FSMA (BELGICA) 
11/04/2012
  • DAVIDSON CAPITAL PARTNERS
A warning PDF of date 11/04/2012 (new window) EI_CBI (IRLANDA) 
09/05/2012
  • DIRECT BROKERS INVEST / DB INVEST
A warning PDF of date 09/05/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DB INVEST LIMITED

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