Click the heading of the "Date" column or of the "Targeted companies" column to sort results in ascending/descending order.

Page 956 out of 1225
Search for Public warnings issued by foreign Securities Regulators
DateTypeTargeted companiesDocument (English)RegulatorComments
22/06/2005unauthorised entities
  • SMITH & HENDERSON
A warning PDF of date 22/06/2005 (new window) SFC (HONG KONG)VER ADVERTENCIAS CNMV
07/08/2019unauthorised entities
  • SMITH & WILLIAMS PLC (CLON, OPERANDO COMO SMITH AND WILLIAMS ONLINE)
  • WWW.SMITHANDWILLIAMSONLINE.COM
  • WWW.SANDW-ONLINE.COM
A warning PDF of date 07/08/2019 (new window) FCA (REINO UNIDO) 
08/04/2020unauthorised entities
  • SMITH & WILLIAMSON HOLDINGS (CLON)
A warning PDF of date 08/04/2020 (new window) FCA (REINO UNIDO) 
14/07/2010unauthorised entities
  • SMITH AND DALTON M&A
  • HTTP://SMITHDALTON.COM/
A warning PDF of date 14/07/2010 (new window) DFSA (DINAMARCA) 
22/10/2014unauthorised entities
  • SMITH AND JACOBS
  • WWW.SMITHANDJACOBS.COM
A warning PDF of date 22/10/2014 (new window) FCA (REINO UNIDO) 
25/04/2012unauthorised entities
  • SMITH AND LOCKHART ASSOCIATES
  • WWW.SMITHLOCKHARTASSOCIATES.COM
A warning PDF of date 25/04/2012 (new window) FSA (REINO UNIDO) 
13/02/2013unauthorised entities
  • SMITH AND OLSSON
  • WWW.SMITHANDOLSSON.COM
A warning PDF of date 13/02/2013 (new window) FSA (REINO UNIDO) 
17/09/2014unauthorised entities
  • SMITH AND STANLEY CORPORATE CONSULTANTS
  • WWW.SMITHSTANLEYCONSULTANTS.COM
  • WWW.SMITHSTANLEY.COM
A warning PDF of date 17/09/2014 (new window) FCA (REINO UNIDO) 
09/02/2005unauthorised entities
  • SMITH BARNEY
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
11/04/2018unauthorised entities
  • SMITH CAPITAL VENTURES, INC. (USA)
A warning PDF of date 11/04/2018 (new window) CBI (IRLANDA) 

Consultation criteria: By type Public warnings issued by foreign Securities Regulators.