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 939 out of 1167
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
11/12/2019
  • MORGAN COWEN CAPITAL MARKETS
  • HTTP://WWW.MORGAN-COWEN.COM
A warning PDF of date 11/12/2019 (new window) FSMA (BELGICA) 
16/01/2019
  • INDEX FINANCIAL GROUP
  • HTTP://INDEXFINANCIALGROUP.COM
A warning PDF of date 16/01/2019 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN VIA TELEFONICA (BOILER ROOMS).
16/01/2019
  • COBALT CAPITAL INC.
  • HTTPS://COBALTCAPITALINC.COM/
A warning PDF of date 16/01/2019 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN VIA TELEFONICA (BOILER ROOMS).
16/01/2019
  • RESONA DAI-ICHI GROUP
  • HTTPS://RDGFINANCIAL.COM
A warning PDF of date 16/01/2019 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN VIA TELEFONICA (BOILER ROOMS).
16/01/2019
  • KLM HOLDINGS
  • WWW.KLMHOLDINGS.COM
A warning PDF of date 16/01/2019 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN VIA TELEFONICA (BOILER ROOMS).
09/02/2022
  • PEGASUS INVEST
  • WWW.PEGASUS-INVEST.COM
A warning PDF of date 09/02/2022 (new window) FSMA (BELGICA) 
07/11/2018
  • AARON BRETT
  • WWW.AARONBRETT.COM
A warning PDF of date 07/11/2018 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN (BOILER ROOMS).
14/07/2021
  • UNITED ASSET FINANCE LIMITED (CLONE)
  • WWW.UNITED-ASSET-FINANCE.COM
A warning PDF of date 14/07/2021 (new window) FSMA (BELGICA) 
07/11/2018
  • FRASER HAMMOND
  • WWW.FRASERHAMMOND.COM
A warning PDF of date 07/11/2018 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN (BOILER ROOMS).
07/11/2018
  • DAIJU COMMODITY MARKETS
  • WWW.DAIJU-CM.COM
A warning PDF of date 07/11/2018 (new window) FSMA (BELGICA)ADVERTENCIA CONTRA ENTIDADES NO AUTORIZADAS QUE OFRECEN SERVICIOS DE INVERSIÓN (BOILER ROOMS).

Consultation criteria: By type unauthorised entities.