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


Ms. Marianne Olson, Senior Special Counsel, Securities and Exchange Commission, United States of America


Mr. Kenneth Lai, Director, Policy and International, Enforcement Division, Securities and Futures Commission, Hong Kong

Members (35)

Comisión Nacional de Valores, Argentina
(Mr. Manuel Ballón, Deputy Manager of the Legal Advisory Division)

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

Securities Commission of The Bahamas, Bahamas
(Ms. Mechelle Martinborough, Senior Legal Counsel)

Financial Services and Markets Authority, Belgium
(Mr. Antoine Van Cauwenberge, Coordinator for International Affairs, Secretary of the 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, Deputy Director, Enforcement)

China Securities Regulatory Commission, China
(Mr. Yanchun He, Deputy Director-General, Enforcement Bureau / Mr. Ziyao Lu, Director, Enforcement Bureau / Ms. Xioalei Ye, Department of International Affairs / Mr. Jianan Lu, Enforcement Bureau)

Dubai Financial Services Authority, DIFC, Dubai
(Ms. Sara Galadari, Head of International Relations / Mr. Christopher D’Cotta, Associate Director in Enforcement)

Autorité des marchés financiers, France
(Mr. Christophe Caillot, Directorate of Investigation and Controls)

Bundesanstalt für Finanzdienstleistungsaufsicht, Germany
(Ms. Julia von Buttlar, Deputy Head of Division, Administrative Offence Proceedings Securities Supervision/Asset Management / Mr. Michael Kehr, Senior Officer, International Policy, Financial Stability and Regulation)

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

Guernsey Financial Services Commission, Guernsey
(Mr. Simon Gaudion, Director of Enforcement / Mrs. Charisma Lyall, General Counsel)

Securities and Futures Commission, Hong Kong
(Mr. Kenneth Lai, Director, Policy and International, Enforcement Division / Ms. Agnes Ng, Senior Manager, International and Policy Unit, Enforcement)

Securities and Exchange Board of India, India
(Mr. Shashi Kumar Valsakumar, Chief General Manager, Office of International Affairs)

Israel Securities Authority, Israel
(Ms. Heli Battan, Adv. International Affairs Department / Ms. Ronit Mandelbaum Lahovizer, Senior Assistant to the Legal Counsel of the Investigations, Intelligence and Market Surveillance Department)

Commissione Nazionale per le Società e la Borsa, Italy
(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
(Mr. Yukihiro Mori, Deputy Director (International Affairs), Planning and Management Division)

Financial Services Commission/Financial Supervisory Service, Korea, Republic of
(Mr. Sunghyun Kim, Senior Examiner, Investigation System Team, Capital Market Investigation Planning Department / Ms. Daeun Lee, Senior Examiner, International Investigation Team, Special Investigation Department)

Comisión Nacional Bancaria y de Valores, Mexico
(Ms. Vanessa Veintimilla Brando, General Director, International Affairs)

The Dutch Authority for the Financial Markets, The Netherlands
(Mr. Bas de Wit, Head, Department of Legal Affairs)

Financial Markets Authority, New Zealand
(Mr. Liam Mason, Director of Regulation / Mr. Nick Kynoch, General Counsel)

Securities and Exchange Commission, Nigeria
(Ms. Frana Chukwuogor, Technical Adviser on policy formulation and implementation, Ag. Director General’s Office)

Ontario Securities Commission, Ontario
(Mr. Ashok Menen, Senior Investigation Counsel)

Polish Financial Supervision Authority, Poland
(Mr. Łukasz Szmit, Specialist, Enforcement Department)

Comissão do Mercado de Valores Mobiliários, Portugal
(Ms. Gabriela Figueiredo Dias, Chair / Ms. 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
(Ms. Charmaine Chiu, Deputy Director, Enforcement Policy and Legal, Enforcement Department / Ms. Peggy Pao-Keerthi, Executive Director, Enforcement Department / Ms. Shu-en Kok, Deputy Director and Head, Enforcement Policy and Legal, Enforcement Department)

Financial Sector Conduct Authority, South Africa
(Mr. Brandon Topham, Divisional Executive: Investigations and Enforcement)

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
(Ms. Buddhinee Herath, Senior Assistant Manager-Investigations / Mr. Tushara Jayaratne, Director, External Relations and Surveillance / Ms. Sheena Goonaratna, Manager, External Relations)

Swiss Financial Market Supervisory Authority, Switzerland
(Mr. Dominik Leimgruber, Head of International Cooperation)

Capital Markets Board, Turkey
(Ms. Ozlem Eraslan, Senior Expert at Strategy Development Department / Mrs. Nukhet Eris / Mr. Sevki Ozgur Altindas)

Financial Conduct Authority, United Kingdom
(Ms. Claire Norfield, Associate/ Law, Policy & International / Enforcement & Market Oversight Division / Mr. Andrew Cotterell, Head of Department, Law, Policy and International, Enforcement and Market Oversight)

Commodity Futures Trading Commission, United States of America
(Ms. Elizabeth Padgett, Associate Chief Counsel, Head International Enforcement Cooperation, Division of Enforcement / Ms. Camille M. Arnold, Special Counsel, Office of International Affairs / Ms. Mary Q. Lutz, Assistant Chief Counsel, Enforcement / Ms. Jennifer Diamond, Assistant Chief Counsel, Enforcement)

Securities and Exchange Commission, United States of America
(Ms. Marianne Olson, Senior Special Counsel / Mr. Kurt Gresenz, Assistant Director / Mr. Matt Greiner, Branch Chief)