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 1079 out of 1167
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
09/02/2005
  • YAMATO & ASSOCIATES
  • WWW.YAMATOANDASSOCIATES.COM
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
23/02/2005
  • WARNER BECK INCORPORATED
A warning PDF of date 23/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • VANTAGE INTERNATIONAL MANAGEMENT GROUP INC
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • HANTEC GROUP ASSET MANAGEMENT LIMITED
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • MISSION FINANCE LIMITED
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • CAPITAL MANAGEMENT GROUP
  • WWW.CAPMANGROUP.COM
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • GLOBAL OPTIONS GROUP
  • WWW.GLOBALOPTIONS.ORG
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • UBHK SECURITIES COMPANY LIMITED
  • HTTP://UNIONBANKHK.COM
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • VANTAGE INTERNATIONAL MANAGEMENT INC
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • SMITH BARNEY
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 

Consultation criteria: By type unauthorised entities.