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MEMORADUM OF UNDERSTANDING BETWEEN THE AMERICAN INSTITUTE IN TAIWAN AND THE COORDINATION COUNCIL FOR NORTH AMERICAN AFFAIRS ON THE EXCHANGE OF INFORMATION CONCERNING COMMODITY FUTURES AND OPTIONS MATTERS (AD.1992.07.24)


【颁发部门】

【发文字号】

【颁发时间】 1970-08-20

【实施时间】

【效力属性】


1 The American Institute in Taiwan (AIT) and the Coordination Cou-ncil for North American Affairs(CCNAA) recognize the increasinginternational activity in futures and options markets ("futuresmarkets"), and the corresponding need for mutual cooperation be-tween the regulatory authorities in their respective jurisdicti-ons.AIT and CCNAA believe that as international participation in fu-tures markets continues to grow, it becomes increasingly import-ant to establish arrangements to exchange supervisory, surveill-ance, and investigatory information in order to assist the regu-latory authorities in their respective jurisdictions in securin-g compliance with their laws, rules and regulations regarding f-utures matters, to the extent permitted by the law of each juri-sdiction.These arrangements should serve to improve the protection of cu-stomers, to secure the adequate supervision and effective regul-ation of futures markets and futures businesses, to enhance thesupervision of cross-border transactions, and to prevent fraudu-lent and other prohibited practices in the futures markets, thu-s promoting the integrity of the markets.For these reasons, AIT and CCNAA agree to facilitate requests m-ade by the regulatory authorities in their respective jurisdict-ions for supervisory, surveillance and investigatory information, on a ease-by-case basis. In order to ensure the timely proces-sing of such requests, AIT and CCNAA appoint the contact personsdesignated in Appendix A hereto.AIT and CCNAA look forward to the productive and efficient faci-litation of requests received from the regulatory authorities intheir respective jurisdictions and agree to negotiate in good f-aith additional measures for the exchange of supervisory, surve-illance and investigatory information requested by these regula-tory authorities should such measures prove to be necessary orappropriate.Signed at Arlington, Virginia, this 11th day of January, 1993.For the American instituteFor the Coordination Councilin Taiwan for North American Affairs[Signed][Signed]Natale H. Bellocchi Ding Mou-ShihChairman and Managing DirectorRepresentativeAPPENDM AThe American Institute in Taiwan designates:as the contact person for investigatory information:Director, Division of Enforcement;United States Commodity Futures Trading CommissionTEL: (202)254-9501FAX: (202)254-3534as the contact person for supervisory information:Director, Division of Trading and MarketsUnited States Commodity Futures Trading CommissionTEL: (202)254-6488FAX: (202)254-8010as the contact person far surveillance information:Director, Division of Economic AnalysisUnited States Commodity Futures Trading CommissionTEL: (202)254-3201FAX: (202)254-3682The Coordination Council for North American Affairs designates:as the contact person for matters concerning information sharing:Dr Chung-Hsing ChenGeneral CounselSecurities and Exchange CommissionTEL: (02)356-0950Fax: (02)392-4068, (02)394-8249as the contact person far matters concerning information sharing:Mr. Lorain Chen Deputy Director for International Affairs Securities and Exchange Commission TEL: (02)356-0950 FAX: (02)392-4068,(02)394-8249

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