Securities and Futures Markets: Cross-Border Information Sharing
Examines international regulatory efforts to improve cross-border information sharing in securities and futures markets. Examines the need to share information, the strengths and weaknesses of different kinds of agreements, the types of information exchanged, and legal and regulatory obstacles to improving the exchange of information.
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administrative agreement Agreement to share Amsterdam Stock Exchange Australia Australian Securities Commission bank secrecy laws blocking laws CBOE CFI‘C CFTC Commodity Exchange Act Comprehensive MOU conﬁdential information cooperation country’s criminal cross-border crrc enforcement exemption Federal FIBV ﬁnancial ﬁrms foreign authorities foreign counterparts foreign regulators foreign-based information France Futures Exchange futures markets futures regulators Futures Trading Hague Convention Impediments to Information Improve Information Sharing Index information with foreign insider trading International Organizations investigations IOSCO legal authority legislative London Stock Exchange Luxembourg market surveillance information Montreal Exchange MOU for sharing mutual assistance negotiated Netherlands NYSE obtain information Operations de Bourse options Progress in Sharing Regulators and Exchanges regulatory authorities SEC's securities and futures Securities Commission securities markets securities regulators share information share market surveillance Sharing Still Exist Singapore Stock Exchange subpoena Switzerland Tokyo Stock Exchange treaty U.S. and foreign U.S. Government U.S. regulators U.S. securities United Kingdom violations
Page 37 - EC are Belgium, Denmark, France, Germany, Greece, Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain, and the United Kingdom.
Page 16 - Association before the Subcommittee on Telecommunications and Finance House Committee on Energy and Commerce July 11, 1990 Restructuring the American Financial Services System Mr.
Page 71 - COMMODITY FUTURES TRADING COMMISSION 2033 K Street, NW, Washington, DC 20581 (202) 254-6970 December 6, 1990 Wendy L Gramm Chairman Mr.
Page 70 - GAO staff at your convenience to discuss our comments further. If you have any questions regarding this letter, please feel free to telephone me at (202) 272-3000.
Page 27 - ... related securities) until they have completed their participation in the distribution. The purpose of the rule is to prevent participants in a distribution from artificially conditioning the market for the securities in order to facilitate the distribution.
Page 62 - Request" means a request made under this Treaty. Article 2 Scope of Application 1 . The Parties shall provide, in accordance with the provisions of this Treaty, mutual legal assistance in all matters relating to the investigation, prosecution and suppression of offences.
Page 17 - PROBLEMS WITH THE SEC'S ENFORCEMENT OF US SECURITIES LAWS IN CASES INVOLVING SUSPICIOUS TRADES ORIGINATING FROM ABROAD...
Page 34 - Nov. 3, 1955J (2) Any member of the American Stock Exchange, Boston Stock Exchange, Midwest Stock Exchange, New York Stock Exchange, Pacific Coast Stock Exchange...