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International Supervisory Cooperation

May 12, 2017

The SEC and several of its counterparts have entered into memoranda of understanding (MOUs) and other arrangements relating to cooperation with respect to supervisory matters. The purpose of these arrangements is to facilitate global regulatory cooperation regarding oversight of market participants that operate across borders. The arrangements also set forth the terms and conditions for the use and confidentiality of any shared information. The SEC's MOUs for regulatory cooperation can vary in scope and purpose. To date, the SEC has entered into MOUs that cover information sharing and cooperation related to:

  • affiliates within a financial group subject to supervision by the SEC and/or a foreign authority;
     
  • firms registered with both the SEC and a foreign authority;
     
  • the oversight of markets in the US and a foreign jurisdiction affiliated through a common ownership structure; and/or
     
  • the sharing of non-public issuer-specific information relating to the application of International Financial Reporting Standards (IFRS) by dually-listed companies.

These memoranda of understanding are publicly available and located on our website.