About the Office
The Office of International Affairs (OIA) promotes investor protection, cross-border securities transactions and fair, efficient and transparent markets by advancing international regulatory and enforcement cooperation, promoting the adoption of high regulatory standards worldwide, and formulating technical assistance programs to strengthen the regulatory infrastructure in global financial markets.
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International Regulatory Policy
OIA advances the SEC's interests in a number of international organizations and bilateral dialogues. SEC staff participation in international workstreams has increased dramatically following the financial crisis because of the resulting change in the international financial architecture. SEC staff actively promotes and protects, daily, the SEC's mission and interests in these international workstreams.
Cooperative Arrangements with Foreign Regulators
Enforcement cooperation is among the top priorities of the SEC's international program.
The SEC has entered into a number of information sharing arrangements to facillitate supervisory cooperation with foreign regulators.
International Technical Assistance
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.
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International Enforcement Assistance
OIA provides advice on and assists with cross-border securities investigations and prosecutions and negotiates international information-sharing arrangements with foreign regulators and law enforcement agencies. Foreign authorities may obtain information about seeking the SEC's enforcement counsel and assistance here.
- SEC Framework for International Cooperation and Assistance
- Mechanisms for Information Sharing in Securities Enforcement Matters
- How a Foreign Securities Authority Can Request Assistance
- SEC International Enforcement Cases
- Complaints Regarding Securities Law Violations in the US Marketplace
- IOSCO Administrative Arrangement for the Transfer of Personal Data
- FCA Administrative Arrangement for the Transfer of Personal Data
Modified: Jan. 31, 2023