Investor Protection
IOSCO receives alerts and warnings from its members about firms which are not authorized to provide investment services in the jurisdiction which issued the alert or warning. Some of the alerts or warnings are about unauthorized firms using names similar to those of authorized firms or about unauthorized firms falsely claiming to be associated with authorized firms.
The alerts and warnings included in the attached list are provided by IOSCO members on a voluntary basis. The contents of the alerts and warnings are the responsibility of the IOSCO member which issues them. This is not a complete list of all alerts and warnings from all IOSCO members.
The date next to the name of the IOSCO member is the date when the alert or warning was posted on this list. By clicking on the date you will be directed to the text of the alert or warning on the IOSCO member's web page. You should look at the IOSCO member's web page to get all the relevant information.
*Only alerts posted during the last year are visible in the table below, but all posted alerts are searchable.
*The subject matter is not available for alerts posted prior to 23 March 2019.
Showing 1061 to 1080 of 7896 result
Company | Regulator | Jurisdiction | Date |
---|---|---|---|
Financial Protection Intelligence Unit | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Protection Commission | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Options Security Exchange | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Fraud Examiners | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Fraud Enforcement Task Force | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Conduct United States of America | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Compensation Authority | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Assets Corporation | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Asset Management, Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Affairs Corporation | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Advisors KMG | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial Action Task Force | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Financial & Regulatory Oversight Board | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Finance Regulation Bureau | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Finance Regulation Board | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
FinAllianz | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Fieldia Asset Management | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Fidelity Revenue LLC | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Fidelity Concept | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Fidel Venture | Securities and Exchange Commission | United States of America | 01 Jul 2024 |