Other
Cooperative Arrangements with Foreign Regulators
May 12, 2017
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)
Modified: Jan. 22, 2021