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 1088 out of 1164
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
07/10/2009
  • THE STERN GROUP
  • WWW.THESTERNGRP.COM
A warning PDF of date 07/10/2009 (new window) SFC (HONG KONG) 
07/10/2009
  • INDEX EASY
  • WWW.INDEX-E.COM
A warning PDF of date 07/10/2009 (new window) SFC (HONG KONG) 
04/11/2009
  • MORRIS COMMODITIES
  • WWW.MORRISCOMMODITIES.COM
A warning PDF of date 04/11/2009 (new window) SFC (HONG KONG) 
30/09/2009
  • THOMAS MOORE
  • WWW.THOMASMOORE.BIZ
A warning PDF of date 30/09/2009 (new window) SFC (HONG KONG) 
28/04/2010
  • LOGICAL CLEARING LIMITED
A warning PDF of date 28/04/2010 (new window) SFC (HONG KONG) 
30/03/2005
  • WWW.ORCB.NET
A warning PDF of date 30/03/2005 (new window) SFC (HONG KONG) 
07/10/2009
  • MORRIS AND KENT MERGERS AND ACQUISITIONS
  • WWW.MORRISKENT.COM
A warning PDF of date 07/10/2009 (new window) SFC (HONG KONG) 
26/05/2010
  • HONG KONG OPTIONS AND FUTURES EXCHANGE (HKOFX)
  • WWW.HKOFX.COM
A warning PDF of date 26/05/2010 (new window) SFC (HONG KONG) 
14/10/2009
  • SWIFT TECH CAPITAL
  • WWW.SWIFTTECHCAPITAL.COM
A warning PDF of date 14/10/2009 (new window) SFC (HONG KONG) 
23/01/2008
  • U.S.A. ICII INTERNATIONAL CONSULTANT LIMITED
  • WWW.IICI.BIZ
  • WWW.USAICI.BIZ
  • WWW.USAICII.BIZ
A warning PDF of date 23/01/2008 (new window) SFC (HONG KONG) 

Consultation criteria: By type unauthorised entities.