Cooperative Arrangements With Foreign Regulators
May 12, 2017
The SEC uses multilateral and bilateral information sharing arrangements — generally known as memoranda of understanding (MOUs) — to facilitate consultation and cooperation with its foreign counterparts. MOUs establish clear mechanisms for the exchange of information, including setting forth the terms and conditions for sharing and protecting the confidentiality of nonpublic information. Read more in the Cooperative Arrangements Fact Sheet.
1. Enforcement Cooperation:
- Argentina (December 9, 1991)
- Australia (October 20, 1993)
- Brazil (July 1, 1988)
- Canada (January 7, 1988; September & October 2015)
- Chile (June 3, 1993)
- France (December 14, 1989)
- Germany (November 22, 1993; March 24, 1994; October 17, 1997)
- Hong Kong (October 5, 1995)
- IOSCO (May, 2002)
- IOSCO (2016)
- Israel (February 13, 1996)
- Italy (May 3 & 5, 1993)
- Japan (May 23, 1986; May 17, 2002; January 12 & 16, 2006)
- Jersey (May 22, 2002)
- Mexico (October 18, 1990)
- Netherlands (December 11, 1989; July 1, 1992)
- Norway (September 24, 1991)
- Portugal (October 10, 1997)
- Singapore (May 16, 2000)
- Spain (July 8, 1992)
- Switzerland (August 31, 1982; November 10, 1987; November 3, 1993)
- United Kingdom (September 23, 1986, September 25, 1991)
- Communiqués/Joint Statements
- Costa Rica (October 10, 1991)
- The Commission of the European Communities (September 23, 1991)
- South Africa (March 2, 1995)
- Sweden (September 25, 1991)
2. Supervisory Cooperation:
- Market Participants and Markets
- European Securities and Market Authority (March 9, 2022)
- France (July 23, 2021)
- Italy (December 22, 2020)
- EBA Framework Cooperation Agreement (September 2017)
- Hong Kong (January 18, 2017)
- Hong Kong (October 5, 1995)
- Mexico (October 2012)
- Brazil (July 2012)
- European Securities and Markets Authority (March 2012)
- Cayman Islands (March 2012)
- Canada (June 2010; September 2011; September & October 2015)
- Germany (April 26, 2007)
- Switzerland (November 2009)
- Belgium - National Bank of Belgium (January 30, 2001; addendum March 9, 2017)
- Belgium (June 29, 2006, and July 6, 2006)
- United Kingdom Financial Conduct Authority (March 29, 2019)
- United Kingdom Bank of England (March 14, 2006)
- United Kingdom Bank of England (October 27, 1997)
- Substituted Compliance
- Germany (December 18, 2020)
- France (July 23, 2021)
- United Kingdom (July 30, 2021)
- European Central Bank (August 16, 2021)
- Switzerland (October 8, 2021)
- Spain (October 21, 2021)
- Certain Entities in the Asset Management Industry
- Austria (July 2013)
- Belgium (July 2013)
- Bulgaria (July 2013)
- Cyprus (July 2013)
- Czech Republic (July 2013)
- Denmark (July 2013)
- Estonia (July 2013)
- Finland (July 2013)
- France (February 2014)
- Germany (July 2013)
- Gibraltar (October 2016)
- Greece (July 2013)
- Hungary (July 2013)
- Iceland (July 2013)
- Ireland (July 2013)
- Italy (July 2013)
- Latvia (July 2013)
- Liechtenstein (July 2013)
- Lithuania (July 2013)
- Luxembourg (July 2013)
- Malta (July 2013)
- Netherlands (July 2013)
- Norway (July 2013)
- Poland (July 2013)
- Portugal (July 2013)
- Romania (July 2013)
- Slovak Republic (July 2013)
- Spain (July 2013)
- Sweden (July 2013)
- United Kingdom (March 2019)
- Issuers and Financial Reporting
3. Data Protection:
4. Technical Assistance:
- Argentina (December 9, 1991)
- Chile (June 3, 1993)
- China (April 28, 1994)
- Egypt (February 11, 1996)
- Hungary (June 22, 1990)
- India (March 6, 1998)
- Indonesia (March 24, 1992)
- IADB/UNECLAC (September 26, 1991)
- Russia (December 5 & 6, 1995)
5. Terms of Reference for Bilateral Dialogues:
- Capital Markets Board of Turkey (July 21, 2011)
- China Securities Regulatory Commission (May 2, 2006)
- European Securities and Markets Authority (formerly Committee of European Securities Regulators) (June 4, 2004)
- SEC-CESR Work Plan (August 2, 2006)
- Securities and Exchange Board of India (January 8, 2008)
- Japan Financial Services Agency (January 30, 2006)
- Korea Financial Supervisory Commission (June 27, 2006)
Last Reviewed or Updated: Jan. 22, 2021