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
Third-country equities under MiFID II
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
FCA list of cooperation agreements with third country regulators
