MOU
with Other Countries
The SEC has established Memoranda of Understanding (MOUs) with securities regulators in numerous countries, fostering cooperation and facilitating information exchange on securities regulation, enforcement, and investor protection. This page provides an overview of the SEC's bilateral MOUs and highlights the benefits of these agreements in promoting a stable and interconnected global capital market.
The Securities and Exchange Commission (SEC) has established Memoranda of Understanding (MOUs) with securities regulators in ten countries, demonstrating its commitment to fostering international cooperation and promoting high standards of capital market regulation. These MOUs provide a framework for information sharing, consultation, and cooperation on a range of regulatory matters, including:
- Investor protection and market integrity
- Cross-border enforcement
- Regulatory harmonization
- Capacity building
The SEC's MOU partners are:
| Country | Regulator | MOU Signing Date |
|---|---|---|
| Oman | Capital Market Authority (CMA) | February 20, 2012 |
| Mauritius | Financial Services Commission (FSC) | May 15, 2012 |
| Kenya | Capital Markets Authority (CMA) | February 23, 2012 |
| Malaysia | Securities Commission Malaysia (SC) | November 15, 2007 |
| India | Securities and Exchange Board of India (SEBI) | April 10, 2007 |
| Tanzania | Capital Markets and Securities Authority (CMSA) | December 7, 2005 |
| Uganda | Capital Markets Authority (CMA) | July 25, 2005 |
| China | China Securities Regulatory Commission (CSRC) | June 14, 2005 |
| Ghana | Securities and Exchange Commission (SEC) | August 27, 2003 |
| South Africa | Financial Services Board (FSB) | August 27, 2002 |
These MOUs have played a significant role in facilitating cross-border cooperation and enhancing investor protection.
SEC's commitment to international cooperation is further reflected in its active participation in multilateral organizations such as the International Organization of Securities Commissions (IOSCO) and the West African Capital Markets Integration Council (WACMIC). Through these organizations, the SEC collaborates with other regulators to develop global regulatory standards and promote cross-border enforcement activities.