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 10 out of 34
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
21/11/2012
  • DEUTSCHE BANK AG
A warning PDF of date 21/11/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENEN NINGUNA VINCULACIÓN CON LA ENTIDAD DEL MISMO NOMBRE QUE ESTÁ DEBIDAMENTE REGISTRADA
30/11/2011
  • DURDAN HEYER LTD
A warning PDF of date 30/11/2011 (new window) FSA (REINO UNIDO) 
07/11/2012
  • DRAKE MERGER MANAGEMENT
A warning PDF of date 07/11/2012 (new window) FSA (REINO UNIDO) 
02/03/2011
  • DIVERSIFIED PORTFOLIO MANAGEMENT INVEST (DPM INVEST)
A warning PDF of date 02/03/2011 (new window) FSA (REINO UNIDO) 
14/01/2009
  • DAWSON JAMES SECURITIES
A warning PDF of date 14/01/2009 (new window) FSA (REINO UNIDO) 
20/04/2011
  • DISTRESSED ACQUISITIONS COMMISSION
A warning PDF of date 20/04/2011 (new window) FSA (REINO UNIDO) 
27/03/2013
  • DEPARTMENT OF FINANCIAL TRADING
A warning PDF of date 27/03/2013 (new window) FSA (REINO UNIDO) 
25/05/2011
  • DREXEL LAMBERT MERGERS AND ACQUISITIONS
A warning PDF of date 25/05/2011 (new window) FSA (REINO UNIDO) 
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
22/06/2022
  • DIGITALGLOBALFX.NET
A warning PDF of date 22/06/2022 (new window) FSA (REINO UNIDO) 

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