Furthering regulatory cooperation

The SC works with a global network of securities regulators to facilitate cross-border cooperation on regulatory and enforcement matters.

1. IOSCO Multilateral Memorandum of Understanding (IOSCO MMoU)
The SC has been a signatory to the IOSCO Multilateral Memorandum of Understanding (IOSCO MMoU) since 2007. Strong coordination with international regulators through this global information sharing network has strengthened the SC’s enforcement capabilities in dealing with cross-border market misconduct. The list of IOSCO MMoU signatories is available here.

2. European Union’s Alternative Investment Fund Managers Directive (AIFMD) on Supervision of cross border offering of alternative investment funds
The SC has signed a series of Memoranda of Understanding with securities regulators from the European Union to cooperate on the supervision of cross border offering of alternative investment funds.

3. Memoranda of Understanding
The SC has entered into Memoranda of Understanding with our regulatory counterparts on mutual assistance, cross-border co-operation and the exchange of information for the purpose of enforcing/supervising and securing compliance with respective laws and regulations. 

No Country Regulator Date
1.

Argentina

Comision Nacional de Valores of Argentina

21 May 1998

2.

Australia

Australian Securities and Investments Commission

8 July 1998

3.

Bosnia and Herzegovina

Securities Commission of the Federation of Bosnia and Herzegovina

17 October 2003

4.

Brazil

Comissao de Valores Mobiliarios of Brazil

7 November 1997

5.

Brunei

Autoriti Monetari Brunei Darussalam

29 October 2013

6.

Chile

Superintendencia de Valores y Seguros of Chile

26 May 1998

7.

China

Ministry of Finance

20 August 2018

8.

China Securities Regulatory Commission

18 April 1997

9.

Dubai

Dubai Financial Services Authority

15 Aug 2006

10.

France

Commission des Operations de Bourse of France

13 September 1999

11.

Hong Kong

Securities Futures Commission of Hong Kong

22 February 1994

12.

India

Securities and Exchange Board of India

14 May 2001

13.

Indonesia

Badan Pengawas Pasar Modal & Lembaga Keuangan (BAPEPAMLK) Indonesia

12 January 1994

14.

Iran

Securities and Exchange Organisation of Iran

19 May 2007

15.

Ireland

Central Bank of Ireland

4 November 2011

16.

Italy

Commissione Nazionale per le Societa e la Borsa, Italy

17 October 2003

17.

Jordan

Jordan Securities Commission

31 October 2002

18.

Kenya

Capital Markets Authority

9 June 1997

19.

Korea

Financial Supervisory Commission of Korea

17 March 2004

20.

Luxembourg

Commission de Surveillance du Secteur Financier

29 January 2010

21.

New Zealand

New Zealand Securities Commission

20 February 2004

22.

Nigeria

Securities and Exchange Commission of Nigeria

15 November 2007

23.

Oman

Capital Market Authority of the Sultanate of Oman

17 October 2003

24.

Poland

Polish Securities and Exchange Commission

26 June 2001

25.

Portugal

Portuguese Comissao do Mercado de Valores Mobiliarios

19 May 2004

26.

Qatar

Qatar Financial Markets Authority (QFMA)

3 December 2010

27.

Sri Lanka

Securities and Exchange Commission of Sri Lanka

4 February 2002

28.

South Africa

Financial Services Board

31 Oct 1997

29.

Taiwan

Securities and Futures Commission of Taiwan

7 November 1997

30.

Thailand

Securities Exchange Commission

4 April 1994

31.

Agricultural Futures Trading Commission Thailand

27 May 2011

32.

Turkey

Capital Markets Board of Turkey

20 April 2010

33.

United Arab Emirates

Emirates Securities and Commodities Authority of the United Arab Emirates

18 March 2005

34.

Vietnam

State Securities Commission of Vietnam

27 February 2007

As at November 2018


4. Innovation Cooperation Agreements
The SC has signed Innovation Cooperation Agreements with our regulatory counterparts. These FinTech bridges provide a framework for information sharing on emerging trends and regulatory issues in digital finance, and facilitate referrals of innovative businesses as well as explore potential joint innovation projects relating to the application of new technologies.

Innovation Cooperation Agreements

No Country Regulator Date
1.

Australia

Australian Securities and Investments Commission

27 June 2017

2.

Hong Kong

Securities and Futures Commission of Hong Kong

14 September 2017

3.

Singapore

Monetary Authority of Singapore

14 September 2017

4.

Sweden

Finansinspektionen Sweden

25 June 2018

5.

United Arab Emirates

Abu Dhabi Global Market Financial Services Regulatory Authority

20 October 2017

6.

United Arab Emirates

Dubai Financial Services Authority

7 September 2017

As at November 2018

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