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Securities regulators announce MOU on information sharing

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01 Nov 2003

The International Organization of Securities Commissions (IOSCO) has announced agreement on a Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information.

The MOU is the first global multilateral information-sharing arrangement among securities regulators and sets a new international benchmark for cooperation critical to combating violations of securities and derivatives laws. The MOU provides for the exchange of basic information in investigating cross-border violations, including bank, brokerage, and client identification records. Information provided through the MOU may be used to enforce compliance with securities and derivatives laws and regulations, including through civil and criminal prosecutions. Currently, regulators from 23 countries have signed the MOU. Others are expected. All signatories must first undergo an IOSCO screening process.

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