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Memoranda of Understanding

  • Financial Information Sharing Memoranda of Understanding

    Financial information sharing memoranda of understanding (FISMOUs) now include risk assessment of related firms located in different jurisdictions. FISMOUs originally provided a basis for exempting firms from the application of one jurisdiction’s capital requirements in deference to the applicability of home state requirements together with exchange of information.

    Canada: Ontario Securities Commission (OSC) and Commission des valeurs mobilières de Québec (CVMQ) (now Autorité des marchés financiers (AMF)) (and Canadian self-regulatory organizations)
    Financial Information-Sharing Memorandum of Understanding
    , September 23, 1991

    United Kingdom: Securities and Investments Board (SIB) (now Financial Conduct Authority (FCA)) (and U.K. self-regulatory organizations)
    Financial Information-Sharing Memorandum of Understanding
    , September 1, 1988
    Addendum to Financial Information-Sharing Memorandum of Understanding
    , May 15, 1989

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