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 3 out of 56
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
29/08/2018
  • PGM PATRIMOINE
A warning PDF of date 29/08/2018 (new window) AMF (FRANCIA) 
16/03/2005
  • PHOENIX KAPITALDIENST GMBH
A warning PDF of date 16/03/2005 (new window) BAFIN (ALEMANIA) 
22/06/2016
  • PROSPER GESIT SOJSC
A warning PDF of date 22/06/2016 (new window) BFSC (BULGARIA) 
22/06/2016
  • PROMETEOS ASSET MANAGEMENT SOJSC
A warning PDF of date 22/06/2016 (new window) BFSC (BULGARIA) 
22/06/2016
  • PLUSOPTION
A warning PDF of date 22/06/2016 (new window) BFSC (BULGARIA) 
18/11/2009
  • PHILIP KNIGHT & CO BVBA
A warning PDF of date 18/11/2009 (new window) CBFA (BELGICA) 
04/11/2009
  • PARKER & BOYD LTD.
A warning PDF of date 04/11/2009 (new window) CBFA (BELGICA) 
03/03/2010
  • PELL FUTURES
A warning PDF of date 03/03/2010 (new window) CBFA (BELGICA) 
23/12/2020
  • PERSHING SECURITIES LIMITED (CLON)
A warning PDF of date 23/12/2020 (new window) CBI (IRLANDA)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA PERSHING SECURITIES LTD.
08/05/2024
  • PIMCO ASSET MANAGEMENT DAC (CLONE)
A warning PDF of date 08/05/2024 (new window) CBI (IRLANDA)LA ENTIDAD ADVERTIDA, QUE HA USADO LAS DIRECCIONES DE CORREO ELECTRÓNICO ADMIN@PIMCOPRIVATEWEALTH.COM, ADMIN@PIMCOGLOBALADVISORS.COM ADMIN@PIMCOPRIVATECLIENTS.COM , HA CLONADO LOS DETALLES DE LA ENTIDAD REGISTRADA EN IRLANDA PIMCO GLOBAL ADVISORS (IRELAND) LIMITED, CON QUIEN NO GUARDA NINGUNA RELACIÓN.

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