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 554 out of 1168
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
12/03/2014
  • TL MALLEN. LLC
  • WWW.TLMALLEN.COM
A warning PDF of date 12/03/2014 (new window) FCA (REINO UNIDO) 
07/05/2014
  • AXA INVESTMENT MANAGERS (CLON)
A warning PDF of date 07/05/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA Y AUTORIZADA AXA INVESTMENT MANAGERS UK LTD.
30/04/2014
  • ING BANK N.V (CLON)
A warning PDF of date 30/04/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEL MISMO NOMBRE QUE ESTÁ DEBIDAMENTE REGISTRADA
16/04/2014
  • SVS SECURITIES
  • WWW.SVSSECURITIES.COM
A warning PDF of date 16/04/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA RELACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA SVS SECURITIES PLC
22/06/2016
  • EPIC LOANS (CLON)
A warning PDF of date 22/06/2016 (new window) FCA (REINO UNIDO) 
14/05/2014
  • BNY MELLON WEALTH MANAGEMENT (CLON)
  • WWW.BNYMELLON.COM/WEALTHMANAGEMENT
A warning PDF of date 14/05/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEL MISMO NOMBRE DEBIDAMENTE REGISTRADA EN ESTADOS UNIDOS
14/05/2014
  • BARON GROUP LTD
  • WWW.BARONGROUPLTD.COM
  • WWW.BARONGROUPLIMITED.COM
A warning PDF of date 14/05/2014 (new window) FCA (REINO UNIDO) 
09/04/2014
  • STANFORD CROWN PARTNERS
  • WWW.STANFORDCROWN.COM
A warning PDF of date 09/04/2014 (new window) FCA (REINO UNIDO) 
09/04/2014
  • RBC WEALTH MANAGEMENT/ROYAL BANK OF CANADA WEALTH MANAGEMENT
A warning PDF of date 09/04/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON EL GRUPO ROYAL BANK OF CANADA (RBC)
09/04/2014
  • KINGSTON FINANCIAL GROUP
  • HTTP://WWW.KINGSTON-FG.COM/
A warning PDF of date 09/04/2014 (new window) FCA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities.