IOSCO EMMOU

In March 2017, IOSCO approved the Enhanced Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (EMMOU), which is built upon the current MMOU.

The IOSCO EMMOU provides IOSCO members who are signatories with additional tools to meet the challenges of combating financial misconduct in an increasingly complex, interconnected and technology-driven global financial market.

Under the EMMOU’s framework for mutual assistance and exchange of information, securities regulators can obtain and share audit working papers, telephone and internet records, compel attendance at interviews and provide guidance on freezing of assets.

The MMOU will remain in effect as long as any signatory wishes to use it. IOSCO’s objective is for all MMOU signatories to eventually migrate to the EMMOU.

Signatories to the IOSCO EMMOU are listed below.

Appendix A.1 of the EMMOU listed signatories that are able to obtain and share telephone and internet records, and audit working papers, compel attendance at interviews and provide guidance on freezing of assets.

Appendix A.2 of the EMMOU listed signatories that are able to obtain and share audit working papers, compel attendance at interviews and provide guidance on freezing of assets.

IOSCO EMMOU Appendix A.1 Signatories

Jurisdiction	Authorities
Bahamas, The	Securities Commission of The Bahamas
Brazil	Comissão de Valores Mobiliários (CVM)
Canada (Alberta)	Alberta Securities Commission (ASC)
Canada (British Columbia)	British Columbia Securities Commission(BCSC)
Canada (Ontario)	Ontario Securities Commission(OSC)
Canada (Quebec)	Autorité des marchés financiers(AMF)
Hong Kong, China	Securities and Futures Commission(SFC)
India	Securities and Exchange Board of India (SEBI)
Israel	Israel Securities Authority (ISA)
New Zealand	Financial Markets Authority (FMA) (Formerly: Securities Commission)
Singapore	Monetary Authority of Singapore(MAS)
Srpska, Republic of	Securities Commission of the Republic Srpska (SECRS)
United States of America	Commodity Futures Trading Commission(CFTC)
United States of America	Securities and Exchange Commission (SEC)

IOSCO EMMOU Appendix A.2 Signatories

Jurisdiction	Authorities
Abu Dhabi	Financial Services Regulatory Authority (FSRA)
AIFC, Nur-Sultan (formerly Astana)	Astana Financial Services Authority (AFSA)
Australia	Australian Securities and Investments Commission(ASIC)
DIFC, Dubai	Dubai Financial Services Authority (DFSA)
Korea, Republic of	Financial Services Commission/Financial Supervisory Service (FSC/FSS)
Peru	Superintendencia del Mercado de Valores (SMV) (Formerly: Comisión Nacional Supervisora de Empresas y Valores (CONASEV))
Switzerland	Swiss Financial Market Supervisory Authority (FINMA) Formerly: Swiss Federal Banking Commission (Commission fédérale des banques)
United Kingdom	Financial Conduct Authority(FCA)

Last update: 23 May 2022