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 1321 to 1340 of 7886 result
Company | Regulator | Jurisdiction | Date |
---|---|---|---|
Chain Broker Trade | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Chadwick & Co. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
CFX Markets Global | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
CFTCooperations | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
CEXGlobalMarkets | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
CenturyVille | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Century Management Division, Inc. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Century Holdings Ltd | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
CentralFX Trade | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Central Trade & Financial Authority | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Central Stock Regulators | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Central Finance Regulatory Commission | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Central Equities Administrators | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Central Commonwealth Securities & Exchange Commission | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Centrade Management Corp. | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Center Point Financial Regulatory Board | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Center for Securities Investigation Department | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Centaur Global Advisors | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
Celivox Alliance | Securities and Exchange Commission | United States of America | 01 Jul 2024 |
CDN Law | Securities and Exchange Commission | United States of America | 01 Jul 2024 |