Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Monday, September 20, 2010

FINRA and UK Regulator Enter Cooperation Agreement

The U.K. Financial Services Authority (FSA) and FINRA have entered into a Memorandum of Understanding (MOU) to support more robust cooperation between the two regulators.  The MOU establishes a framework for enhancing the ability of the FSA and FINRA to oversee the world's largest securities firms and markets.  The agreement will facilitate the exchange of information on firms and individuals under common supervision, support collaboration on investigations and enforcement matters, and allow further sharing of regulatory techniques, including approaches to risk-based supervision of firms.

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The Financial Services Authority or FSA is in charge of monitoring and regulating all the financial transactions and stock market exchanges within the UK. This can avoid any market fraud and illegal trade.

Posted by: Niall | Sep 27, 2010 4:54:01 AM

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