Committee on Enforcement and the Exchange of Information (Committee 4)

Committee 4 aims to help prevent and detect the breaches of securities laws and regulations in global financial markets. It seeks to implement global enforcement cooperation under the IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (MMoU), the international standard for cooperation and information exchange.

Members of Committee 4


Mr. Jean-François Fortin, Executive Director, Enforcement, Autorité des marchés financiers, Quebec


Ms. Jane Attwood, Head of Intelligence in Enforcement and Market Oversight, Financial Conduct Authority, United Kingdom

Members (34)

Comisión Nacional de Valores, Argentina
(Ms. Rocío Balestra, Commissioner / Dr. Pablo Mercante, Head, Office of International Affairs)

Australian Securities and Investments Commission, Australia
(Mr. David McGuinness, Senior Executive Financial Services Enforcement)

Financial Services and Markets Authority, Belgium
(Mr. Antoine Van Cauwenberge, Internal Coordinator for all matters regarding ESMA and IOSCO, Secretary of the FSMA Supervisory Board)

Comissão de Valores Mobiliários, Brazil
(Mr. Eduardo Manhães Ribeiro Gomes, Head of the International Affairs Department)

British Columbia Securities Commission, British Columbia
(Mr. Mark Hilford, Manager, Litigation)

China Securities Regulatory Commission, China, People's Republic of
(Mr. Jinwei Ye, Deputy Director-General, Enforcement Bureau / Ms. Xiaolei Ye, Department of International Affairs)

Dubai Financial Services Authority, DIFC, Dubai
(Mr. Stephen Glynn, Senior Director and Head of Enforcement / Mr. Christopher D’Cotta, Associate Director in Enforcement)

Autorité des marchés financiers, France
(Mr. Christophe Caillot)

Bundesanstalt für Finanzdienstleistungsaufsicht, Germany
(Mr. Michael Kehr / Ms. Miriam Gessler, Senior Officer; International Policy, Financial Stability and Regulation; Securities Supervision/Asset Management / Mr. Philipp Sudeck, Head of Division; International Policy, Financial Stability and Regulation; Securities Supervision/Asset Management)

Hellenic Capital Market Commission, Greece
(Ms. Vassiliki Galanopoulou, Senior Officer, Directorate of International Relations)

Guernsey Financial Services Commission, Guernsey
(Mr. Richard Walker, Director of Policy and International Affairs / Mr. Callum McVean, Deputy Director of Enforcement / Mr. Simon Gaudion, Director of Enforcement)

Securities and Futures Commission, Hong Kong
(Ms. Agnes Ng, Senior Manager of Enforcement, International and Policy Unit / Mr. Jimmy Chan, Director of Enforcement, International and Policy Unit)

Securities and Exchange Board of India, India
(Mr. Aliasgar S. Mithwani, General Manager, Office of International Affairs)

Israel Securities Authority, Israel
(Ms. Galya Levy, Senior legal counsel, Head of International Enforcement / Ms. Maya Marinov-Shiffer, Senior Legal Counsel, Head of Investments, International Affairs Department)

Commissione Nazionale per le Società e la Borsa, Italy
(Ms. Nicoletta Giusto, Senior Director, Head of the International Relations Office / Ms. Irene Tagliamonte, Senior Officer, International Relations Office / Ms. Raffaella Pantano, Senior Officer, International Relations Office)

Financial Services Agency / Securities and Exchange Surveillance Commission, Japan
(Ms. Yayoi Takahashi, Deputy Director (International Affairs), Coordination Division)

Financial Services Commission/Financial Supervisory Service, Korea, Republic of
(Ms. Yoon song Lee, Deputy director of Capital market investigation unit / Mr. Yong Han Kim, Lead Examiner of Capital Market Investigation Department 2)

Comisión Nacional Bancaria y de Valores, Mexico
(Mr. Jose Loyola Trujillo, General Director, International Affairs)

The Netherlands Authority for the Financial Markets, Netherlands, The
(Mr. Martijn Priem, Legal Affairs Division)

Financial Markets Authority, New Zealand
(Mr. Nick Kynoch, FMA's General Counsel)

Securities and Exchange Commission, Nigeria
(Mr. Amos Isaac Azi, Head of Enforcement)

Ontario Securities Commission, Ontario
(Mr. John Humphreys, Senior Investigation Counsel, Enforcement Branch)

Polish Financial Supervision Authority, Poland
(Ms. Katarzyna Tomczyk, Head of Unit, Analyses & International Cooperation Department / Mr. Radoslaw Obczynski, Banking and Payment Insitutions Inspections Department)

Comissão do Mercado de Valores Mobiliários, Portugal
(Ms. Gabriela Figueiredo Dias, Chair / Ms. Ana Rita Cunha, International Relations Expert)

Autorité des marchés financiers, Quebec
(Ms. Anne-Louise Lamarre, Executive assistant / Mr. Jean-François Fortin, Executive Director, Enforcement)

Monetary Authority of Singapore, Singapore
(Mr. Paul Yuen, Director & Department Head of Market Conduct Department)

Financial Services Board, South Africa
(Mr. Solly Keetse, Head of Market Abuse Department)

Comisión Nacional del Mercado de Valores, Spain
(Mr. Santiago Yraola López, Deputy Director of International Affairs)

Securities and Exchange Commission of Sri Lanka, Sri Lanka
(Mr. Tushara Jayaratne, Director, External Relations and Surveillance / Ms. Sheena Goonaratna, Manager, External Relations)

Swiss Financial Market Supervisory Authority, Switzerland
(Ms. Annemarie Nussbaumer, Head of International Cooperation / Mr. Prisi Olivier)

Capital Markets Board, Turkey
(Ms. Ozlem Eraslan, Senior Expert at Strategy Development Department / Mr. Faik Metin Tiryaki, Deputy Head at the Enforcement Department)

Financial Conduct Authority, United Kingdom
(Ms. Jane Attwood, Head of Intelligence in Enforcement and Market Oversight / Ms. Claire Norfield, Associate/ Law, Policy & International / Enforcement & Market Oversight Division)

Commodity Futures Trading Commission, United States of America
(Ms. Elizabeth Padgett, Associate Chief Counsel)

Securities and Exchange Commission, United States of America
(Ms. Marianne Olson, Branch Chief for International Enforcement in the Office of International Affairs / Mr. Alberto Arevalo, Associate Director / Mr. Kurt Gresenz, Assistant Director / Mr. Matt Greiner, Branch Chief)