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 57 out of 87
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
30/11/2005
  • STEIN FITZGERALD ASSOCIATES
A warning PDF of date 30/11/2005 (new window) FSA (REINO UNIDO) 
25/04/2012
  • SAMUEL MATTHEW
A warning PDF of date 25/04/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE AUTORIZADAS DENOMINADAS ING INVESTMENT MANAGEMENT (UK) LIMITED E ING ASSET MANAGEMENT BV
30/11/2005
  • STRATEGIC CORPORATE SERVICES
A warning PDF of date 30/11/2005 (new window) FSA (REINO UNIDO) 
04/04/2012
  • SANTIAGO MERGERS AND ACQUISITIONS
A warning PDF of date 04/04/2012 (new window) FSA (REINO UNIDO) 
31/08/2005
  • STRATFORD ADVISORY SERVICES
A warning PDF of date 31/08/2005 (new window) FSA (REINO UNIDO)VER ADVERTENCIAS CNMV
27/06/2012
  • SWISS GLOBAL ASSET MANAGEMENT
A warning PDF of date 27/06/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS SIGUIENTES ENTIDADES DEBIDAMENTE AUTORIZADAS: SWISS & GLOBAL ASSET MANAGEMENT (LUXEMBOURG) SA Y SWISS & GLOBAL ASSET MANAGEMENT SA
27/06/2012
  • SPRINGHILL GROUP
A warning PDF of date 27/06/2012 (new window) FSA (REINO UNIDO) 
25/04/2012
  • SMITH AND LOCKHART ASSOCIATES
A warning PDF of date 25/04/2012 (new window) FSA (REINO UNIDO) 
09/05/2012
  • SQUARE MILE FINANCE
A warning PDF of date 09/05/2012 (new window) FSA (REINO UNIDO) 
21/07/2010
  • SWISS EQUITY INVESTMENT
A warning PDF of date 21/07/2010 (new window) FSA (REINO UNIDO) 

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