FCA list of cooperation agreements with third country regulators

The FCA has published a list of the supervisory authorities in third countries with which it has cooperation agreements that meet the requirements set out in Article 32(2) of Commission Delegated Regulation (EU) 2017/565. These complement with MiFID II regarding the organisational requirements and operating conditions for investment firms (otherwise known as the MiFID II Org Regulation).

The FCA states that firms can use the list to assess their compliance with Article 32(1) of the MiFID II Org Regulation. The FCA also reminds firms to consider the outsourcing requirements set out at Articles 30 and 31 of the MiFID II Org Regulation and in SYSC 8 of the FCA Handbook.Further information:

MOU / Cooperation Agreement  Supervisory Authority 
Abu Dhabi Financial Services Regulatory Authority
Albania Albanian Financial Superviosry Authority
Andorra Institut Nacional Andorra de Finances
Angola Comissao do Mercado de Capitais
Argentina Comision Nacional de Valores
Armenia Central Bank of America
Australia  Australian Securities and Investment of Commission
Bahamas Securities Commission of The Bahamas
Kindom of Bahrain Central Bank of Bahrain
Bangladesh Bangladesh Securities and Exchange Commission
Bermuda Bermuda Monetary Authority
Federation of Bosnia and Herzegovina Securities Commission of the Federation of Bosnia and Herzegovina
Brazil  Comissao de Valores Mobiliarios
British Virgin Islands British Virgin Islands Financial Services Commission
Brunei Autoriti Monetari Brunei Darussalam
Canada Office of Superintendent of Financial Instutions
  British Columbia Securities Commission
  Ontario Securities Commission
  Autorite des marches financiers
  Alberta Securities Commission
 
Cayman Islands Cayman Islands Monetary Authority
Central Africa Commission de Surveillance du Marche Financier de l’Afrique Centrale (Securities and Exchange Commission of Central Africa
China China Securities Regulatory Commission
Colombia  Superintendencia Financiera de Colombia
Dubai Dubai Financial Services Authority
Ecuador Superintendencia de Companias, Valores y Seguros
Egypt Financial Regulatory Authority
El Salvador Superintendencia del Sistema Financiero
Guernsey Guernsey Financial Services Commission
Hong Kong Securities and Futures Commission
  Insurance Authority of Hong Kong
 
India  Securities and Exchange Board of India
  Reserve Bank of India
 
Indonesia Indonesia Financial Services Authority
Isle of Man Isle of Man Financial Servies Authority
Israel Israel Securities Authority
Jamaica Financial Services Commission
Japan Financial Services Agency
Jersey Jersey Financial Services Commission
Jordan Jordan Securities Commission
Kenya  Capital Markets Authority
Rebuplic of Korea Financial Services Commission
  Financial Supervisory Service
  Securities and Futures Commission
 
Kuwait  Capital Markets Authority
Labuan  Labuan Financial Services Authority
Former Yugoslav Republic of Macedonia  Securities and Exchange Commission of the Repbulic of Macedonia
Malawi Reserve Bank of Malawi
Malaysia Securities Commission
Maldives Capital Markets Development Authority
Republic of Mauritius Financial Services Commission
Mexico  Comision Nacional Bancaria y de Valores
Mongolia Financial Regulatory Commission
Montenegro Securities and Exchange Commission of Montenegro
Morocco Autorite Marocaine du Marche des Capitaux
New Zealand Financial Markets Authority
  Reserve Bank of New Zealand
 
Nigeria  Securities and Exchange Commission
Sultanate of Oman Capital Market Authority
Pakistan Securities and Exchange Commission
Palestine Palestine Capital Market Authority
Panama Superintendencia del Mercado de Valores
Peru Superintendencia del Mercado de Valores
Qatar Qatar Financial Centre Regulatory Authority
  Qatar Financial Markets Authority
 
Republic Srpska Securities Commission of the Republic Srpska
Russia  The Bank of Russia
Saudi Arabia Capital Market Authority
Repulic of Serbia Securities Commission
Singapore Monetary Authority of Singapore
South Africa Financial Service Board
  South African Reserve Bank
 
Sri Lanka Securities and Exchange Commission of Sri Lanka
Switzerland Swiss Financial Market Supervisory Authority
Syria Syrian Commission on Financial Markets and Secuirties
Taiwan Taiwan Financial Superviory Commission
Tanzania  Capital Markets and Securities Authortiy
Thailand Securites and Exchange Commission
Trinidad and Tobago Trinidad and Tobago Securities and Exchange Commission
Tunisia Conseil du marche financier
Turkey  Capital Markets Board
Turks & Caicos Islands Turks & Caicos Islands Financial Services Commission
Uganda Capital Markets Authority
United Arab Emirates Securities and Commodities Authority
United Sates of America Commodity Futures Tradin Commission
  Securities and Exchange Commission
  Financial Industry Regulatory Authority
 
Uruguay Banco Central del Uruguay
Vietnam State Securities Commission
West African Monetary Union Conseil regional de l’epargne publique et des marches financiers
Zambia  Securities and Exchange Commission

 

For the list link: https://www.fca.org.uk/publication/corporate/outsourcing-portfolio-management-list-cooperation-agreements-2018.pdf

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Other Links

ESMA third-country trading venues

ESMA third-country trading venues

 

Third-country equities under MiFID II

 

Cross-border investment services

ESMA on guidance cross-border investment services

 

Please Note: This publication is not intended to be a comprehensive review of all developments in the law and practice, or to cover all aspects of those referred to. Readers should take legal advice before applying the information contained in this publication to specific issues or transactions.

 

Source and credit: Compliancy Services

 

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