Cooperative Arrangements With Foreign Regulators
May 12, 2017
The SEC uses multilateral and bilateral information-sharing arrangements generally known as memorandums 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.
Enforcement Cooperation
- Argentina — Dec. 9, 1991
- Australia — Oct. 20, 1993
- Brazil — July 1, 1988
- Canada — Jan. 7, 1988 (addendum: September/October 2015)
- Chile — June 3, 1993
- France — Dec. 14, 1989
- Germany — Oct. 17, 1997 (previous: Nov. 22, 1993 and March 24, 1994)
- Hong Kong — Oct. 5, 1995
- IOSCO — 2016 (previous: May 2002)
- Israel — Feb. 13, 1996
- Italy — May 3 & 5, 1993
- Japan — May 23, 1986 (Statement of Intent — May 17, 2002; Amendment to Statement of Intent — January 2006)
- Jersey — May 22, 2002
- Mexico — Oct. 18, 1990
- Netherlands — Dec. 11, 1989 (Communique — July 1, 1992)
- Norway — Sept. 24, 1991
- Portugal — Oct. 10, 1997
- Singapore — May 16, 2000
- Spain — July 8, 1992
- Switzerland — Aug. 31, 1982
- United Kingdom — Sept. 23, 1986 and Sept. 25, 1991
Communiqués/Joint Statements
- Costa Rica — Oct. 10, 1991
- South Africa — March 2, 1995
- Sweden — Sept. 25, 1991
- The Commission of the European Communities — Sept. 23, 1991
Supervisory Cooperation
- Market Participants and Markets
- Belgium — June 29, 2006, and July 6, 2006
- Belgium - National Bank of Belgium — January 30, 2001 (addendum: March 9, 2017)
- Brazil — July 2012
- Canada — June 2010; September 2011; September & October 2015
- Cayman Islands — March 2012
- EBA Framework Cooperation Agreement — September 2017
- European Securities and Market Authority — March 9, 2022 (previous: March 2012)
- France — July 23, 2021
- Germany — April 26, 2007
- Hong Kong — Jan. 18, 2017 (previous: Oct. 5, 1995)
- Italy — Dec. 22, 2020
- Mexico — October 2012
- Peru — Jan. 9, 2026
- Switzerland — November 2009
- United Kingdom Financial Conduct Authority — March 29, 2019 (previous: United Kingdom Financial Services Authority on March 14, 2006 and The Bank of England on Oct. 27, 1997)
- Substituted Compliance
- European Central Bank — Aug. 16, 2021
- France — July 23, 2021
- Germany — Dec. 18, 2020
- Switzerland — Oct. 8, 2021
- Spain — Oct. 21, 2021
- United Kingdom — July 30, 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
Data Protection
Technical Assistance
- Argentina — Dec. 9, 1991
- Chile — June 3, 1993
- China — April 28, 1994
- Egypt — Feb. 11, 1996
- Hungary — June 22, 1990
- IADB/UNECLAC — Sept. 26, 1991
- India — March 6, 1998
- Indonesia — March 24, 1992
- Russia — Dec. 5-6, 1995
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
- Press Release
- SEC-CESR Work Plan (Aug. 2, 2006)
- Japan Financial Services Agency — January 30, 2006
- Korea Financial Supervisory Commission — June 27, 2006
- Securities and Exchange Board of India — January 8, 2008
Last Reviewed or Updated: Jan. 9, 2026