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 39 out of 40
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
13/06/2018
  • LITTINVEST / EXPLATINUM LP
A warning PDF of date 13/06/2018 (new window) SFSA (SUECIA) 
11/10/2006
  • LIBERTY ASSET MANAGEMENT
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 
11/10/2006
  • LOMBARD SMITH & CO
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 
13/12/2006
  • LLOYD BROWN INVESTMENTS, INC.
A warning PDF of date 13/12/2006 (new window) SFSA (SUECIA) 
02/11/2011
  • LONGWOOD TRANDING AND SGCEX
A warning PDF of date 02/11/2011 (new window) SFSA (SUECIA) 
26/11/2008
  • LYLAND FINANCE
A warning PDF of date 26/11/2008 (new window) SFSA (SUECIA) 
19/03/2014
  • LIN WARWICK
A warning PDF of date 19/03/2014 (new window) SFSA (SUECIA) 
05/06/2013
  • LEAD MANAGEMENT LIMITED
A warning PDF of date 05/06/2013 (new window) SSMA (ESLOVENIA) 
13/01/2016
  • LYXOR LTD
A warning PDF of date 13/01/2016 (new window) SSMA (ESLOVENIA) 
18/11/2015
  • LABANNA CAPITAL MANAGEMENT
A warning PDF of date 18/11/2015 (new window) SSMA (ESLOVENIA) 

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