SEC’s Technical Assistance Program
May 12, 2017
The SEC’s Technical Assistance program advances the agency’s mission by building the capacity of, and establishing strong working relationships with, the SEC’s international regulatory and law enforcement counterparts. SEC staff experts share their perspectives on best practices in securities regulation and enforcement, and share lessons learned from practical experience in overseeing securities markets. Our Technical Assistance programs cover a range of topics, including creating robust examination and enforcement programs and establishing effective disclosure regimes for public companies and market participants, which we view as foundational elements of effective capital markets oversight, as well as key to market development.
SEC staff provide expertise and experience to securities and financial regulators around the globe about enforcement, supervisory, and regulatory issues, including insider trading, market manipulation, pyramid schemes, corporate governance, inspections and compliance, anti-money laundering, and a host of other capital market issues. Utilizing a faculty of senior SEC officials and seasoned practitioners, the SEC’s Technical Assistance program provides training to a broad range of regulatory and law enforcement officials every year.
The Technical Assistance program aims to improve enforcement, supervisory, and regulatory capacity of the SEC’s foreign counterparts through the SEC’s flagship International Institutes, bilateral and regional training programs, official foreign delegation visits, and consultations. The SEC’s International Institutes are held in Washington, DC, for delegates of foreign securities and law enforcement authorities. We conduct bilateral and regional programs at the request of foreign authorities and can include training and consultations relating to enforcement, examinations, disclosure, and anti-money laundering. In addition, the SEC’s Technical Assistance program hosts official delegations from foreign regulatory authorities to discuss a variety of enforcement, supervisory, and regulatory issues of mutual interest. The SEC’s Technical Assistance program also provides consultations on drafting statutes, regulations, and effective disclosures, as well as offer confidential advice on investigative techniques and other market oversight topics. These programs serve the interests of investors and markets by promoting the adoption of high quality securities laws, and, importantly, the enforcement of those laws.
The SEC staff’s travel expenses for participating in overseas Technical Assistance programs are paid by the requesting foreign authorities and other sponsoring agencies and organizations. Sponsors of the SEC’s Technical Assistance missions include US agencies, World Bank, and the International Monetary Fund (IMF).
Need Technical Assistance?
Contact the SEC’s Office of International Affairs at Foreign.Requests@sec.gov.