BaFin

Memoranda of Understanding

Memoranda of Understanding (MoU) create the legal framework for efficient home-country supervision of undertakings that operate on a cross-border basis.

These agreements between supervisory authorities regarding cooperation between them play a major role in international cooperation between financial regulators. There are MoU that cover specific institutions and specific sectors as well as cross-sectoral MoU; agreements also exist in bilateral and multilateral form.

The following list gives an overview of the Memoranda of Understanding entered into by BaFin (with no claim to completeness):

Banking supervision

Banking supervision
CountryYear
Albania2012
Argentina2001
Armenia2011
Australia2005
Austria 2000
Belgium1993
Bosnia and Herzegovina2016
Brazil2006
Canada2004
China2004
Croatia2008
Czech Republic2003
Denmark1993
Dubai2006
El Salvador2011
Estonia2002
Finland1995
France1992
Georgia2011
Greece1993
Guernsey2011
Hong Kong2004
Hungary2000
India2013
Ireland1993
Italy (BI)1993
Italy (BI-Unicredit)2005
Jersey2012
Korea2010
Kosovo2011
Latvia2000
Lithuania2001
Luxembourg1993
Macedonia2011
Malta2004
Mexico2010
Moldova2014
Netherlands1993
Nicaragua2011
Norway1995
Philippines2007
Poland2004
Portugal1996
Qatar2008
Romania 2003
Russia2006
Serbia2011
Singapore2009
Slovakia2002
Slovenia2001
South Africa2004
Spain 1993
Sweden1995
Turkey2011
UK (BSC)1995
UK (SIB/SROs)1995
USA (NYSBD)2002
USA (Fedboard/OCC/FDIC)2006
USA (OTS)2005
USA (SEC)2007
Vietnam2010
Vatican2014

Securities supervision

Securities supervision
CountryYear
Argentina1998
Australia1998
Brazil1999
Canada2003
China1998
Croatia2008
Cyprus2003
Czech Republic1998
Dubai2006
Estonia2002
France1996
Guernsey2011
Hong Kong1998
Hungary1998
Iran2016
Israel2017
Italy1997
Jersey2012
Korea2010
Lebanon2016
Malta2004
Monaco2009
Poland1999
Portugal1998
Qatar2008
Russia2001
Russia2009
Singapore2000
Slovakia2004
South Africa2001
Spain1997
Taiwan1997
Turkey2000
United Arab Emirates2008
USA (CFTC)1997
USA (CFTC)2016
USA (SEC)1997
USA (SEC)2007
Vatican2014

Insurance supervision

Insurance supervision
CountryYear
Australia2005
California (USA)2007
Canada2004
China2001
Croatia2008
Connecticut (USA)2011
Czech Republic2002
Dubai2006
Egypt2010
Estonia2002
Florida (USA)2009
Georgia (USA)2012
Guernsey2011
Hong Kong2008
Hungary2002
Jersey2012
Korea2010
Latvia2002
Lithuania2003
Malta2004
Maryland (USA)2009
Minnesota (USA)2009
Nebraska (USA)2007
New Jersey (USA)2009
New York (USA)2008
Qatar2008
Romania2004
Singapore2009
Slovakia2001
Thailand2010
Vatican2014

updated on 22.05.2017

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