1. News and resources
  2. International regulator alerts

International regulator alerts

You can check international warnings and alerts via the International Organization of Securities Commissions’ investor alerts portal and overseas regulators’ websites.

The International Organization of Securities Commissions (IOSCO) receives alerts and warnings from its members about businesses not authorised to provide investment services in the jurisdiction which issued the alert or warning. The alerts and warnings included in the list are provided by IOSCO members on a voluntary basis, so may not be a complete list of all alerts and warnings from all IOSCO members.

Check the IOSCO investor alerts portal

Some of the other websites you can check are:

Australian Securities and Investments Commission (ASIC): List of companies you should not deal with

United States Securities Exchange Commission: Litigation page provides information on SEC enforcement actions, opinions issued by the Commission, briefs filed by SEC staff, trading suspensions, and notices concerning the creation of investors claims funds in specific cases.

United States Commodities Futures Trading Commission: Disciplinary history page enables you to search for sanctions against individuals or businesses.

Canadian Securities Administrators: Homepage provides links to investor alerts, a list of “disciplined persons” and cease trade orders.

United Kingdom Financial Conduct Authority (FCA): Warnings and alerts page lists alerts about financial services firms and individuals, based both overseas and in the UK, which are operating without FCA authorisation.

Monetary Authority of Singapore (MAS): Investor alert list provides a listing of unregulated persons who, based on information received by MAS, may have been wrongly perceived as being licensed or authorised by MAS.

Securities Commission Malaysia: Investor alerts list includes enforcement actions and press releases, internet scams and updates.

Hong Kong Securities and Futures Commission (SFC): Enforcement page provides a list of enforcement actions and people subject to arrest warrants.

Central Bank of Ireland (Central Bank): List of unauthorised firms in respect of which the Central Bank has published warning notices.