Enforcement and the Exchange of Information (Committee 4)

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

Overview

The GFSA Committee on Enforcement and the Exchange of Information (Committee 4) focuses on:

  • Preventing and detecting breaches of securities laws and regulations.
  • Enhancing global enforcement cooperation through information sharing.
  • Implementing the Multilateral Memorandum of Understanding (MMoU) for consultation and cooperation among regulatory bodies.

This committee plays a key role in ensuring market integrity by strengthening cross-border collaboration to combat fraud, insider trading, and market manipulation.


Committee 4 Members

Chairperson

  • Mr. Éric Jacob – Executive Director, Enforcement, Autorité des marchés financiers, Quebec

Vice Chairperson

  • Mr. Pasquale Munafò – Senior Officer, Commissione Nazionale per le Società e la Borsa, Italy

Committee 4 Members (35)

The following regulatory authorities contribute to global enforcement cooperation:

  • Comisión Nacional de Valores, Argentina

    • Ms. Patricia Boedo, Vice Chairman
    • Dr. Julian Costoya, Manager of Inspection and Investigation
    • Mr. Manuel Ballón, Deputy Manager of the Legal Advisory Division
  • Australian Securities and Investments Commission, Australia

    • Ms. Molly Choucair, Senior Executive Leader, Markets 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, Associate Director, Head of International Relations
    • Mr. Christopher D’Cotta, Associate Director, Enforcement
  • Autorité des marchés financiers, France

    • Mr. Christophe Caillot, Directorate of Investigation and Controls
  • Bundesanstalt für Finanzdienstleistungsaufsicht, Germany

    • Ms. Anja Felten, Head of Division for Market Surveillance
    • Mr. Laurenz Pigge, Senior Advisor
    • Mr. Michael Kehr, Senior Advisor
  • Hellenic Capital Market Commission, Greece

    • Mrs. Vassiliki Koularmani, Director of International Relations
    • Ms. Vaso Galanopoulou, Head of the Department 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. Carmen Fung, Associate Director, Policy and International, Enforcement Division
  • Securities and Exchange Board of India, India

    • Mr. Pradip Bhowmick, Deputy General Manager
    • Ms. G Babita Rayudu, Executive Director
  • Israel Securities Authority, Israel

    • Ms. Heli Battan, 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

    • Mr. Pasquale Munafò, Senior Officer
    • Ms. Martina Tambucci, Head of International Relations Office
    • Ms. Raffaella Pantano, International Relations Office, Senior Officer
  • 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. Minhyuk Choi, Deputy Director of Capital Market Investigation Coordination Division
    • Mr. Jongmin Hong, Assistant Deputy Director of Capital Market Investigation Coordination Division
    • Ms. Eui-Ran Chon, Examiner, International Investigation Team
    • Mr. Sanghyeok Jeong, Senior Examiner, Investigation Department
  • Comisión Nacional Bancaria y de Valores, Mexico

    • Mr. Javier Flores, General Director for International Affairs
    • Ms. Ethel Ramirez Morales, Deputy General Director for 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

    • Ms. Margot Gatland
    • Mr. Nick Kynoch, General Counsel
  • Securities and Exchange Commission, Nigeria

    • Ms. Temitope Onwionoko, Head, Enforcement Division
  • Ontario Securities Commission, Ontario

    • Mr. John Humphreys, Investigation Counsel, Enforcement
  • Polish Financial Supervision Authority, Poland

    • Mr. Łukasz Szmit, Specialist, Enforcement Department
  • Comissão do Mercado de Valores Mobiliários, Portugal

    • Ms. Rita Cunha, International Relations Expert
  • Autorité des marchés financiers, Quebec

    • Mr. Éric Jacob, Executive Director, Enforcement
    • Ms. Anne-Louise Lamarre, Executive Advisor
  • Monetary Authority of Singapore, Singapore

    • Ms. Peggy Pao-Keerthi, Executive Director, Enforcement Department
    • Ms. Charmaine Chiu, Deputy Director and Head, Enforcement Policy and Legal
  • Financial Sector Conduct Authority, South Africa

    • Mr. Gerhard van Deventer
  • Comisión Nacional del Mercado de Valores, Spain

    • Ms. Sonia Vadillo, 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 Capital Market Education
    • Ms. Sheena Goonaratna, Manager, External Relations
  • Swiss Financial Market Supervisory Authority, Switzerland

    • Mr. Dominik Leimgruber, Head of International Cooperation
  • Capital Markets Board, Türkiye

    • Ms. Selcan Olca, Senior Expert, Strategy Development Department
    • Mrs. Nükhet ERİŞ, Senior Expert, Enforcement Department
  • Financial Conduct Authority, United Kingdom

    • Ms. Rebecca Sambrook, Technical Specialist
  • Commodity Futures Trading Commission, United States of America

    • Ms. Elizabeth Padgett, Associate Chief Counsel, Head International Enforcement Cooperation
    • 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. Marlee Miller, Senior Special Counsel
    • Ms. Marianne Olson, Assistant Director
    • Ms. Estee Levine, Assistant Director
    • Mr. Tom Swiers, Branch Chief