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 1177 out of 1194
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
14/09/2005
  • DRAGON SECURITIES
A warning PDF of date 14/09/2005 (new window) SFSA (SUECIA) 
21/09/2005
  • CHEOY LEE ASSET MANAGEMENT ASIA
A warning PDF of date 21/09/2005 (new window) SFSA (SUECIA) 
22/01/2014
  • 1ST AMERICAN SECURITIES
  • WWW.1STAMERICANSECURITIES.COM
  • WWW.KERSTDIS.NL
A warning PDF of date 22/01/2014 (new window) SFSA (SUECIA) 
08/01/2014
  • RAMSEY INVESTMENT PARTNERS
  • WWW.RAMSEYINVESTMENTPARTNERS.COM
A warning PDF of date 08/01/2014 (new window) SFSA (SUECIA) 
11/10/2006
  • LOMBARD SMITH & CO
  • WWW.LOMBARDSMITH.COM
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 
19/11/2008
  • HCS WORLDWIDE
  • WWW.HCSWORLDWIDE.COM
A warning PDF of date 19/11/2008 (new window) SFSA (SUECIA) 
16/05/2012
  • CROSSBRIDGE PARTNERS
  • WWW.CROSSBRIDGEPARTNERS.COM
A warning PDF of date 16/05/2012 (new window) SFSA (SUECIA) 
08/01/2014
  • HARDEN-KRAUSE PRIVATE EQUITY LTD
  • WWW.HARDEN-KRAUSE.COM
A warning PDF of date 08/01/2014 (new window) SFSA (SUECIA) 
08/01/2014
  • KANAGAWA ASSOCIATES
  • WWW.KANAGAWA-ASSOCIATES.COM
A warning PDF of date 08/01/2014 (new window) SFSA (SUECIA) 
22/06/2011
  • CORPORATE ONE ASSET MANAGEMENT
  • WWW.CORPORATEONEASSETMGM.COM
A warning PDF of date 22/06/2011 (new window) SFSA (SUECIA) 

Consultation criteria: By type unauthorised entities.