MEMORANDUM OF UNDERSTANDING Between the Federal Trade Commission of the United 

States of America and the Competition and Markets Authority of the United Kingdom.

The Federal Trade Commission (FTC) of the United States of America and the Competition and 

Markets Authority (CMA) of the United Kingdom (each one “a Participant”; collectively 

“Participants”)

RECOGNIZING that the Participants are charged with the mission of protecting consumers from 

deceptive and fraudulent commercial practices, and other unlawful conduct that harms consumers,

according to the national laws and regulations of their respective countries;

RECOGNIZING that deceptive and fraudulent commercial practices, and other unlawful conduct that 

harms consumers, undermine the integrity of markets and consumer confidence in those markets to 

the detriment of all businesses and consumers;

RECOGNIZING that the enforcement challenges that exist go beyond national frontiers, and that 

cooperation among national public authorities responsible for the enforcement of consumer 

protection laws is essential to fight such practices;

RECOGNIZING that there is a need for effective and enhanced cross-border collaboration amongst 

the Participants, as well as with civil and criminal enforcement authorities in their respective 

countries, for enforcement cooperation, reciprocal exchange of information, and sharing of 

expertise in consumer protection matters; 

RECOGNIZING that the Participants will from time to time enlist the assistance of, or seek to assist, 

those other civil and criminal enforcement authorities when acting under this Memorandum;

RECOGNIZING that the Participants may from time to time enlist the assistance of non-enforcement 

entities that have consumer-protection related functions, such as providing advice to consumers or 

adjudicating consumer complaints;

RECOGNIZING the OECD’s recommendations on enhanced enforcement cooperation in the 2016 

Council Recommendation on Consumer Protection in E-commerce, and the 2003 Recommendation of 

the Council concerning Guidelines for Protecting Consumers from Fraudulent and Deceptive 

Commercial Practices across Borders, which call on governments to improve consumer protection 

enforcement authorities’ ability to cooperate and coordinate their investigations and enforcement 

activities through notification, information sharing (subject to appropriate safeguards for

confidential business information or personal data), investigative assistance, and joint actions;

RECOGNIZING the efforts that the Participants have already made to strengthen bilateral ties, 

including their joint enforcement-related work in the International Consumer Protection and 

Enforcement Network, and the joint work of the Participants and other civil and criminal authorities 

in their respective jurisdictions such as the joint work of the FTC and U.K. Trading Standards 

Authorities in the International Mass Marketing Fraud Working Group;

RECOGNIZING that the Memorandum of Understanding Between the United States Federal Trade 

Commission and the Information Commissioner’s Office of the United Kingdom on the Enforcement 

of Laws Protecting Personal Information in the Private Sector has facilitated and enhanced 

enforcement cooperation between those agencies;
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RECOGNIZING that the U.S. Federal Trade Commission Act, 15 U.S.C. § 41 et seq., as amended by the 

U.S. SAFE WEB Act, authorizes the FTC to disclose information to law enforcement authorities from 

other countries under appropriate circumstances, and that the Enterprise Act 2002, Part 9, 

authorizes the CMA and other enforcers to disclose information to enforcement authorities in other 

countries under appropriate circumstances; 

RECOGNIZING that such information sharing and enforcement cooperation are essential elements to 

ensure compliance with consumer protection laws, serving a substantial public interest, while also 

noting that the laws applicable to the Participants may contain certain restrictions on international 

law enforcement assistance, including information disclosure, and that nothing in this Memorandum 

of Understanding is intended to affect such restrictions;

RECOGNIZING that information sharing that involves personal data requires the FTC and the CMA to 

ensure that they protect the privacy and security of such data in any cross-border information 

sharing and enforcement cooperation arrangements under this Memorandum of Understanding; 

and

RECOGNIZING that action against cross-border deceptive and fraudulent commercial practices, and 

against other unlawful conduct that harms consumers, can be made more effective by increased 

consumer protection enforcement cooperation; 

HAVE REACHED THE FOLLOWING UNDERSTANDING:

PART ONE: BACKGROUND

I. Definitions

For the purposes of this Memorandum of Understanding (“Memorandum”),

A. “Applicable Consumer Protection Laws” means:

1. For the United States, those laws and regulations administered by the Federal Trade 

Commission, other than Federal antitrust laws (as defined in 15 U.S.C. § 6211(5) of the United States 

Code), as may be modified or enacted from time to time; and

2. For the United Kingdom, those laws listed as infringements for the purposes of Part 8 of the 

Enterprise Act 2002.

B. “Covered Violation” means a practice that would violate the Applicable Consumer Protection 

Laws of either the United States of America or the United Kingdom and that involves unlawful 

conduct that harms consumers, including fraudulent or deceptive commercial practices or practices 

that are otherwise the same or substantially similar to practices prohibited by any provision of the 

Applicable Consumer Protection Laws administered by the other Participant.

C. “Information” means evidence, testimony, communications, statements, documents or 

copies thereof, data, metadata, recordings, images in any form, and all data compilations that serve 

to identify, locate or link any such materials such as file inventories, folders and lists, or other things, 
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that are obtained in anticipation of or during the course of an investigation or enforcement 

proceeding, including the identity of a person under investigation and any personal data necessary

or useful for such an investigation or proceeding; 

D. “Person” means any natural person or legal entity, including corporations, unincorporated 

associations, partnerships, and bodies corporate existing under or authorized by the laws of the 

United States, its States, or its Territories, or the laws of the United Kingdom.

E. “Enforcer” means public civil or criminal enforcement authorities from the Participants’ 

respective countries that are vested with law enforcement or investigative authority in civil, criminal, 

or administrative matters.

F. “Non-Enforcer” means an entity that is not an enforcer, but has consumer protectionrelated functions, such as providing advice to consumers or adjudicating consumer complaints. 

G. “Request” means a request for assistance under this Memorandum.

H. “Requested Participant” means the Participant from which assistance is sought under this 

Memorandum, or which has provided such assistance, whether itself or by enlisting the assistance of 

another Enforcer.

I. “Requesting Participant” means the Participant seeking or receiving assistance under this 

Memorandum, or which has received such assistance, whether on its own account or acting to assist

another Enforcer. 

II. Objectives and Scope of Assistance

A. This Memorandum sets forth the Participants’ intent with regard to cooperation, mutual 

assistance and the exchange of Information for the purpose of enforcing and securing compliance 

with Applicable Consumer Protection Laws. The Participants do not intend any provision of this 

Memorandum to:

1. create or affect any legally binding rights or obligations under international or domestic 

laws;
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2. affect any Participant’s ability to seek information on a lawful basis from a Person located in 

the other Participant’s country, or preclude any Person from voluntarily providing legally obtained 

information to a Participant. 

B. The Participants understand that it is in their common interest to:

1. cooperate with respect to the enforcement of the Applicable Consumer Protection Laws, 

including sharing complaints and other relevant information and providing investigative assistance;

2. facilitate research and education related to consumer protection;

3. promote technical exchanges relating to each Participant’s best practices for enforcement 

activities, including developments in technology, intelligence sources, and redress distribution 

models;

4. inform each other of developments in their respective countries that relate to this 

Memorandum; 

5. participate in periodic teleconferences to discuss ongoing and future opportunities for 

cooperation; and

6. work together on strategic consumer priorities accordingly. This might include discussing 

mutual interests in the pipeline for consumer enforcement cases or exploring international 

dimensions to market studies of mutual interest. 

PART TWO: ENFORCEMENT COOPERATION

III. Information Sharing and Requests for Assistance

A. Subject to Sections IV and VI, the Participants intend, in appropriate cases, to use best 

efforts to:

1. share Information, including complaints and other personally identifiable information, that a 

Participant believes would be relevant to investigations or enforcement proceedings regarding 

Covered Violations;
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2. provide investigative assistance upon request to each other, including:

i. obtaining Information pursuant to the Requested Participant’s legal authority;

ii. obtaining testimony or statements of Persons or otherwise obtaining Information 

from Persons;

iii. locating or identifying Persons, assets, or things; and

iv. using best efforts to assist in execution of service of process;

3. coordinate enforcement against cross-border Covered Violations that are a 

priority for both Participants;

4. co-operate in the detection and investigation of violations of the Participants’ Applicable 

Consumer Protection Laws;

5. provide other appropriate assistance that would aid in the enforcement against Covered 

Violations; and

6. establish the routinized, electronic sharing of appropriate consumer complaint information

between the Participants and with other Enforcers, as well as Non-Enforcers including the U.K.’s 

Citizens Advice to the extent appropriate. For Enforcers, this includes joining and/or maintaining 

membership in econsumer.gov, and use of the Consumer Sentinel Network for complaint sharing. 

B. Subject to Section IV, and to facilitate the cooperation described in Section III.A, each 

Participant intends to designate a primary contact for the purposes of Requests and other 

communications under this Memorandum. The initial contacts are identified in Annex 1. 

C. Subject to Section IV, and to facilitate the cooperation described in Section III.A, the 

Participants intend to develop a system to facilitate and track the confidential and secure exchange 

of information relating to ongoing or anticipated investigations or enforcement matters, building on 

existing systems to the extent feasible.

D. The Participants understand that:
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1. the Requesting Participant is expected to provide sufficient information to enable the 

Requested Participant to determine whether a Request relates to a Covered Violation and to take 

action in appropriate circumstances. Such information may include a description of the facts 

underlying the Request and the type of assistance sought, as well as an indication of any special 

precautions that should be taken in the course of fulfilling the Request, as described in Annex 2;

2. prior to requesting assistance, the Requesting Participant should perform a preliminary 

inquiry to ensure that the Request is consistent with the scope of this Memorandum and does not 

impose an excessive burden on the Requested Participant. 

E. Subject to Sections IV, VI, and IX:

1. To facilitate cooperation within the United States, the FTC intends to liaise with other 

Enforcers upon the request of the CMA and, to facilitate cooperation within the U.K., the CMA 

intends to liaise with other Enforcers upon the request of the FTC; and

2. The Participants may also liaise with Non-Enforcers in their respective jurisdictions,

consistent with their respective laws and subject to appropriate confidentiality and data safeguards,

to achieve the objectives of this Memorandum.

IV. Prioritization Framework, Limitations on Assistance, and Resolution of Disagreements

A. The Participants recognize that it is not feasible for Participants to offer assistance for every 

Covered Violation. Accordingly, the Participants intend to seek and provide cooperation focusing on 

those Covered Violations most serious in nature, such as those involving egregious conduct, those 

that cause or are likely to cause substantial economic harm, or those that otherwise affect a 

significant number of consumers.

B. The Participants further recognize that the Requested Participant may exercise its discretion 

to decline the Request, or limit or condition its cooperation, including where it is outside the scope 

of this Memorandum and the prioritization framework, above, or more generally, where it would be 

inconsistent with domestic laws, important interests, or priorities. If asked, the Requested 

Participant is to provide a preliminary response within 30 days as to whether it intends to fulfil the 

Request, decline the Request, or limit or condition its cooperation with the Request. If the 

Requested Participant intends to fulfil the Request, its response may include a non-binding time 

estimate.

C. Before denying a Request, the Requested Participant should consult with the Requesting 

Participant to determine whether assistance may be given in part, subject to specified terms and 
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conditions. If a Request is denied, the Requested Participant should provide the Requesting 

Participant with a written explanation of the basis for refusal.

D. Participants intend to resolve any disagreements related to cooperation that may arise 

under this Memorandum through consultations, and, failing resolution in a reasonable and timely 

manner, by discussion between appropriate senior officials designated by the Participants. 

E. The Participants intend to establish a Joint Implementation Committee, made up of not 

more than three representatives from each Participant, that will meet at least twice a year, either in 

person or by telephone or videoconference, in order to:

1. discuss pending Requests made by the Participants;

2. assess the progress of ongoing investigations and procedures regarding Requests made 

pursuant to this Memorandum and other matters related thereto;

3. assess which Requests concern acts and practices that meet the prioritization framework set 

forth in Section IV.A, and which Requests are the highest priorities to pursue;

4. review econsumer.gov complaint data and other complaint data sources, such as complaint 

data compiled by Citizens Advice and the FTC’s Consumer Sentinel Network, to identify areas of 

mutual enforcement interest for coordinated enforcement work; and

5. when appropriate, to consider the need for improvements to this Memorandum and to 

make suitable proposals for modification.

V. Costs

Unless otherwise decided by the Participants, each Requested Participant intends to bear its own 

costs incurred in providing information to the Requesting Participant. 

PART THREE: CONFIDENTIALITY AND DATA SAFEGUARDS

VI. Confidentiality and Data Safeguards Certification

A. When disclosing Information under this Memorandum, the Participants intend to set out: 

that the Information is disclosed for official law enforcement purposes; whether there may be any 

further onward disclosure of the Information to another Person or Enforcer and, if so, the 
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procedures for doing so; and whether the Information may be used for any other purpose. To the 

fullest extent possible, and consistent with their respective laws, each Participant intends to certify

the confidential treatment of Information received under this Memorandum, including the existence 

of an investigation to which the Information relates. Subject to Section VI.D, the Participants plan to 

treat the shared Information, the existence of the investigation to which the Information relates, 

and any Requests made pursuant to this Memorandum as confidential, and do not intend to further 

disclose or use this Information for purposes other than those for which it was originally shared,

which may include assistance from another Enforcer, without the prior written consent of the 

Requesting Participant. The Participants recognise that from time to time it may be necessary for a 

Participant to disclose Information to a Non-Enforcer to achieve the purpose for which Information 

is shared. In such a case, the Information is only to be shared with the Non-Enforcer with the prior 

consent of the other Participant. Limitations and specific procedures may apply with respect to the 

sharing of Information with Non-Enforcers, including the U.K. Non-Enforcers listed in Annex 3. 

B. Each Participant is to use best efforts, consistent with its laws, to safeguard the security of 

any Information received under this Memorandum and respect any safeguards decided upon by the 

Participants involved in the Request. In the event of any unauthorized access or disclosure of the 

Information, the Participants are to take all reasonable steps to prevent a recurrence of the event 

and to promptly notify any other affected Participant of the occurrence. 

C. The Participants recognize that information exchanged in connection with investigations and 

enforcement often contains personally identifiable information. If the Requesting Participant wishes 

to obtain confidential Information that includes personally identifiable information, then the 

Participants understand that they are to take additional appropriate measures to safely transmit and 

safeguard the Information containing personally identifiable information. Protective measures 

include, but are not limited to, the following examples and their reasonable equivalents, which may 

be used separately or combined as appropriate to particular circumstances:

1. transmitting the Information in an encrypted format;

2. transmitting the Information directly by a courier with package tracking capabilities;

3. maintaining the Information in secure, limited access locations (e.g., password-protected 

files for electronic information and locked storage for hard-copy information); and

4. if used in a proceeding that may lead to public disclosure, redacting personally identifiable 

information or filing under seal.

D. When a Requesting Participant is acting to assist another Enforcer, that Enforcer is subject to the 

confidentiality and data safeguards set forth in this Section, and is expected to sign the certification 
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set out in Annex 4 before Information is disclosed. A disclosure of the existence of an investigation 

by the Requesting Participant to another Enforcer to obtain assistance in executing the Request does 

not require the other Enforcer to sign the statement at Annex 4, provided that the disclosure is in 

furtherance of the investigation.

VII. Disclosure of Confidential Information

A. Notwithstanding Section VI.A, the Participants understand that:

1. Either Participant may disclose Information provided pursuant to this Memorandum in 

response to a formal demand from the Participant’s country’s legislative body or an order issued 

from a court with proper jurisdiction in an action commenced by the Participant or its government; 

and

2. Information obtained in connection with the investigation or enforcement of criminal laws 

may be used for the purpose of investigation, prosecution, or prevention of violations of a 

Participant’s country’s criminal laws.

B. The Participants should oppose, to the fullest extent possible consistent with their 

respective laws, any application by a third party for disclosure of confidential information received 

from a Requested Participant, unless the Requested Participant consents to its release. The 

Participant that receives such an application is to notify forthwith the Participant that provided it 

with the confidential information. This is not understood to require a Participant to appeal every

decision of a court or tribunal ordering it to disclose information. In such a case, the Participants 

should consult each other on next steps.

VIII. Retention of Materials

A. For the purposes of this Section VIII, “Materials” means all documents and electronically 

stored information and tangible things that were shared under this Memorandum and that are in a 

Requesting Participant’s possession, custody, or control.

B. Participants understand they are expected not to retain Materials for longer than is 

reasonably needed to fulfil the purpose for which the Materials were shared, or any document 

retention required by the Requesting Participant’s country’s laws, whichever is longer.

C. The Participants recognize that in order to fulfil the purpose for which the Materials were 

shared, the Participants typically need to retain the Materials until the conclusion of the pertinent 

investigation or related proceedings for which the Materials were requested. 
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D. Consistent with their respective laws, the Participants are expected to return or delete any 

Materials that are no longer needed, using secure methods, as soon as practicable after the 

Requested Participant makes a written request for return or deletion or otherwise within a 

reasonable time once the Materials are no longer required. 

E. When a Participant shares Information under this Memorandum with another Enforcer, that

Enforcer is expected to give effect to the provisions on retention of Materials set forth in this 

Section.

IX. Consultation with Other U.K. Entities

A. The Participants recognize that coordination with the government authorities and nongovernmental entities listed in Annex 3 may be warranted in connection with investigations of 

suspected fraudulent and deceptive commercial practices and other unlawful conduct that harms 

consumers, and that it may be appropriate to make contact with and obtain Information from those 

other entities listed in Annex 3.

B. To the extent that any of entities listed in Annex 3 exercise control over the sharing of 

confidential information, the Participants intend in appropriate cases to facilitate cooperation.

C. The Participants intend to coordinate such consultation through the points of contact 

designated in Annex 1.

PART FOUR: TECHNICAL EXCHANGES

X. Staff and Subject-Matter Expertise Exchanges

A. The Participants intend to collaborate on sharing best practices, subject-matter expertise, 

and other intelligence as well as on economic and legal conditions and theories relating to the 

enforcement of the Applicable Consumer Protection Laws. Such collaboration may include the 

following:

1. staff exchanges;

2. periodic teleconferences or webinars to exchange information between and among the 

Participants’ management and staff on legal developments, enforcement actions, and investigative 

techniques; 

3. coordinated studies on consumer-related market issues when appropriate on issues of 

mutual concern; and 
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4. the exchange of other relevant information within the scope of this Memorandum, such as 

government and self-regulatory enforcement initiatives.

XI. Consumer and Business Education

A. To the extent practicable, the Participants intend to collaborate regarding the development 

and dissemination of consumer and business education materials, particularly with regard to 

materials relating to Covered Violations of a cross-border nature. In conducting such collaboration,

the Participants may partner with other organizations, including non-governmental organizations 

and business stakeholders, in their jurisdictions.

B. To the extent practicable, the Participants intend to assist in the dissemination of relevant 

consumer and business education materials in print or digital form within their jurisdictions, 

involving other organizations, including non-governmental organizations and business stakeholders, 

when appropriate. 

PART FIVE: DURATION AND EFFECT

XII. Duration of Cooperation

A. The Participants intend cooperation in accordance with this Memorandum to begin as of the 

date it is signed by all Participants and to continue as provided in this Memorandum.

B. Assistance in accordance with this Memorandum is understood to be available concerning 

Covered Violations occurring before as well as after this Memorandum is signed.

C. Any Participant may discontinue its participation in this Memorandum at any time, but a 

Participant is expected to provide 30 days written notice of such discontinuation. Before providing 

such notice, a Participant is expected to consult with the other Participant. 

D. Upon discontinuation of participation by a Participant under this Memorandum, the 

Participant is expected to maintain the confidentiality of any Information communicated to it by the 

other Participants in accordance with this Memorandum, and return or destroy, consistent with the 

provisions of Sections VI and VIII, Information obtained from the other Participant in accordance 

with this Memorandum.

E. This Memorandum may be modified by mutual decision of the Participants. Any 

modification should be in writing and signed by all of the Participants. 
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XIII. Participation of Other Governmental Consumer Protection Enforcement Authorities

Other governmental consumer protection enforcement authorities, including from outside the 

Participants’ jurisdictions, may become Participants in this Memorandum upon the mutual decision

of the original Participants. 

SIGNATURES

Signed at Washington, D.C., United States of America, and London, England, in duplicate.

FOR THE FEDERAL TRADE COMMISSION OF THE UNITED STATES OF AMERICA:

__________________________________

Joseph J. Simons, Chairman

United States Federal Trade Commission

Date:

FOR THE UNITED KINGDOM COMPETITION AND MARKETS AUTHORITY:

______ _ _

Rt Hon Lord Tyrie, Chairman

United Kingdom Competition and Markets Authority

Date: 
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ANNEX 1

Designated Initial Primary Contacts

for Requests for Assistance and Other Communications under this Memorandum

For the UK Competition and Markets Authority:

Name: Jason Freeman

Title: Director, Consumer Law

Agency: Competition and Markets Authority

Telephone: 0044 20 3738 6262

E-mail: jason.freeman@cma.gov.uk

Mailing address: Victoria House, 37 Southampton Row, London, WC1B 4AD

For the Federal Trade Commission:

Name: Hugh Stevenson

Title: Deputy Director, Office of International Affairs

Agency: Federal Trade Commission

Telephone: 1.202.326.3511

E-mail: hstevenson@ftc.gov

Mailing Address: 600 Pennsylvania Avenue, NW, Washington DC 20580
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ANNEX 2

Model Request Form

The Participants intend to use a Model Request form that includes the following:

(a) the names of the Requested and the Requesting Participants and, when a Participant is 

acting to assist another Enforcer, the name of that Enforcer;

(b) the name, location, and contact details of the subject(s) of the investigation, if available;

(c) a general description of the alleged Covered Violation including, where applicable, the name 

of the product or service and the advertising or sales medium involved;

(d) the estimated number and location of consumers likely to be harmed and the estimated 

economic harm;

(e) the Applicable Consumer Protection Laws allegedly violated;

(f) the description of the assistance requested;

(g) the purpose for which the Information requested will be used; 

(h) a certification of confidential treatment of all information exchanged between the 

Participants in connection with the Request consistent with Annex 5 of the Memorandum;

(i) a certification, when a Requesting Participant is acting to assist another Enforcer, of 

that Enforcer’s legal basis for maintaining confidentiality of a Request and all Information

exchanged in connection with the Request as set forth in Annex 4 of the Memorandum;

(j) a statement of intention to comply with the provisions on retention of Materials;

(k) an indication of any special precautions that should be taken in the course of fulfilling the 

Request;
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(l) a description of any investigation and consultations undertaken by the Requesting 

Participant; and

(m) a description of the Information establishing a Covered Violation including witnesses and 

documents that the Requesting Participant can provide to the Requested Participant; and

(n) a statement of whether the Requesting Participant intends to share the Information 

exchanged in connection with this Request with another Person or Enforcer, and, if that is the 

intention, any limitations or procedures for sharing that Information.
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ANNEX 3

The following United Kingdom entities are recognized as having particular interest in contributing to 

the Memorandum’s goal of enhancing cross-border cooperation among consumer protection 

agencies:

1. Department for Business, Energy and Industrial Strategy

2. Core Members of the UK Consumer Protection Partnership: Advertising Standards Authority, 

Citizens Advice, Citizens Advice Scotland, Chartered Trading Standards Institute, Competition and 

Markets Authority, Consumer Council for Northern Ireland, Convention of Scottish Local Authorities/ 

Trading Standards Scotland, Department of Enterprise, Trade and Investment Northern Ireland, 

Financial Conduct Authority and National Trading Standards.
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ANNEX 4

To be signed by Enforcers that receive assistance under this Memorandum:

CERTIFICATION 

I certify on behalf of this agency that: 

1. Any Information received pursuant to this request for investigative assistance will be used only for 

the official law enforcement purposes for which they were shared and will be maintained in 

confidence. 

2. This agency will not disclose such Information further (including to a domestic or foreign law 

enforcement agency) except in connection with a judicial, administrative, or other legal proceeding 

commenced by this agency and related to our request. If use in the proceeding would result in public 

disclosure, this agency will give the original submitter of the information to the Federal Trade 

Commission/Competition and Markets Authority prior written notice of its intention to use the 

Information in the proceeding and an opportunity to seek appropriate relief. 

3. This agency, to the extent permitted by law, will notify the Federal Trade Commission/

Competition and Markets Authority of the results of the investigation or enforcement proceeding 

pertaining to this request. 

4. This agency will not retain documents and electronically stored information and tangible things 

that were shared under this Memorandum for longer than is reasonably needed for the purpose for 

which such materials were shared, or any document retention required by law, whichever is longer,

and will return or delete any such materials that are no longer needed within a reasonable time after 

such materials are no longer required.

The legal basis for this agency's authority to maintain the requested Information in confidence is:

(cite applicable provision of the relevant statute or rules and attach copies)
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Annex 5

The Participants’ authority to maintain requested Information in confidence is as follows:

For the FTC: 

The FTC protects the confidentiality of sensitive, nonpublic information received from businesses or 

consumers located domestically or abroad, or from foreign authorities, under applicable provisions 

of U.S. law. As a general matter, the FTC typically does not disclose nonpublic agency information. 

Nonpublic agency information can include information submitted to the agency, information about 

the Commission’s investigations and actions, and information about internal agency deliberations. 

Unauthorized disclosure of nonpublic information submitted to the Commission is subject to 

criminal prosecution and punishable by fines or imprisonment under the FTC Act, 15 U.S.C. § 50. 

Under certain circumstances, unauthorized disclosure of nonpublic agency information is subject to 

criminal sanction under the Trade Secrets Act, 18 U.S.C. § 1905, the Larceny Act, 18 U.S.C. § 641, and 

SEC Rule 10b-5. In addition, the disclosure of materials submitted to the Commission is restricted by 

the following provisions of the FTC Act:

Sections 21(b) and 21(f) of the FTC Act, together with Commission Rule 4.10(d), limit 

disclosure of information in a law enforcement investigation if the information was 

submitted pursuant to compulsory process or if it was submitted voluntarily in lieu of such 

process pursuant to a request and designated confidential.

Section 6(f) of the FTC Act limits disclosure of trade secrets and confidential or privileged 

commercial or financial information.

Section 21(c) of the FTC Act requires pre-disclosure notice to the submitter where the 

Commission intends to disclose documents marked “confidential” by a submitter if the 

Commission or its designee determines that such documents are not in fact confidential.

The FTC Act does, however, permit disclosure of information protected by Sections 6(f), 21(b) and 

21(f) to foreign law enforcement authorities in specified circumstances.1

Other federal laws also require the FTC to treat specific types of information as confidential, without 

regard to the manner in which the information is obtained. For example, U.S. law imposes 

confidentiality obligations regarding certain classes of information, including personally identifiable 

information, maintained by federal agencies. See, e.g., 5 U.S.C. § 552a (Privacy Act of 1974). There 

are certain, discrete circumstances in which the FTC may disclose a person’s confidential information 

for a specific use. For example, the FTC Act does not bar the agency’s use of a person’s confidential 

information in judicial and administrative proceedings. However, the Federal Rules of Civil Procedure 

 1 Such disclosure is permitted in the agency’s discretion, for example, when the foreign law enforcement 

authority requests information for the purpose of investigating or engaging in enforcement proceedings 

related to possible violations of foreign laws prohibiting fraudulent or deceptive practices or other practices 

substantially similar to practices prohibited by any law administered by the Commission. Among other 

requirements, the foreign law enforcement agency must certify that it will use such information only for 

official law enforcement purposes, and set forth a bona fide legal basis for its authority to maintain the 

information in confidence.
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and FTC Rules of Practice include procedures to protect confidential information used in judicial 

proceedings or FTC administrative proceedings. For instance, the person providing information may 

seek a protective order to prevent confidential information from being made public or from being 

used outside the court proceeding. See Fed. R. Civ. P. 26(c); 16 C.F.R. § 3.31(d) (requiring 

Administrative Law Judge in FTC proceeding to issue a specific protective order). In addition, the FTC 

Act does not prohibit the agency from complying with information requests from Congress. In the 

event of such a request, however, the agency must notify the submitter of the information, and the 

agency can request confidential treatment of any information that may be shared.

The FTC is also subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, which requires the 

agency to provide access to certain existing government records to the public. The law recognizes, 

however, that the disclosure of certain information could be harmful. It therefore recognizes 

exceptions and excludes some records, or portions of records, from release including certain law 

enforcement records (e.g., certain investigatory files) including from foreign agencies. In addition, 

under Section 21(f) of the FTC Act as amended by the U.S. SAFE WEB Act, the FTC may also withhold 

from disclosure:

(i) any material obtained from a foreign law enforcement agency or other foreign 

government agency, if the foreign law enforcement agency or other foreign government 

agency has requested confidential treatment, or has precluded such disclosure under other 

use limitations, as a condition of providing the material; 

(ii) any material reflecting a consumer complaint obtained from any other foreign source, if 

that foreign source supplying the material has requested confidential treatment as a 

condition of providing the material; or 

(iii) any material reflecting a consumer complaint submitted to a Commission reporting 

mechanism sponsored in part by foreign law enforcement agencies or other foreign 

government agencies.

For the CMA:

The CMA is under statutory obligations under Part 9 of the Enterprise Act 2002 (EA02) to protect 

confidential information. These obligations apply to the confidentiality of information relating to 

individuals and businesses that comes to the CMA in connection with the exercise of its statutory 

functions. Restrictions on the further disclosure of information apply to the CMA and to other 

persons to whom it makes disclosure. In particular, a person making an unlawful disclosure commits 

a criminal offence (s.245 of the EA02).

Under the EA02 such specified information may only be disclosed in certain specific circumstances, 

generally referred to as ‘information gateways’, and only after detailed consideration of certain 

additional factors. The EA02 does not permit a disclosure of personal information which contravenes 

the Data Protection Act 2018 and General Data Protection Regulation 2016 and related legislation.

The information gateways currently are consent by the individual or business concerned, an EU 

obligation, facilitation of a statutory function (whereby information may not be further disclosed by 

the recipient or used for any other function), use in court proceedings, and to assist an overseas 

enforcer where appropriate safeguards are in place.2

 

 2 The appropriate safeguards are that the matter in respect of which disclosure is made is sufficiently serious, 

the law of the receiving country provides protection against self-incrimination and protection in relation to the 
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Whenever information is disclosed by reason of an information gateway, the CMA must, under s.244 

of the EA02, carefully consider the need to exclude from disclosure any information whose 

disclosure is contrary to the public interest; the need to exclude from disclosure information whose

disclosure might significantly harm the legitimate business interests of an undertaking, or the 

interests of an individual; and the extent to which the disclosure is necessary for the purpose (ie the 

information gateway) for which the authority is permitted to make the disclosure. 

Under the Freedom of Information Act 2000 (FOIA), the CMA may be under a duty to confirm or 

deny that information requested by a member of the public is held and if it is held to communicate 

that information to the requester. However there are exemptions to these duties:

• S.30 FOIA exempts from disclosure information which relates to confidential sources and 

was obtained or recorded by the CMA for its statutory purposes of investigating 

infringements of the law

• S.31 FOIA exempts from disclosure information whose disclosure would prejudice the CMA’s 

or any other public authority’s investigative functions 

• S.40 FOIA exempts from disclosure personal data which cannot be disclosed under the Data 

Protection Act 2018 and related legislation

• S.41 FOIA exempts from disclosure information provided to the CMA in confidence, whose 

disclosure would be a breach of confidence actionable by the person who provided the 

information

• S.43 FOIA exempts from disclosure information which is a trade secret or whose disclosure 

would, or would be likely to, prejudice the commercial interests of any person

 

storage and disclosure of personal information, and whether there are mutual assistance arrangements in 

place. Information disclosed under this gateway may not be further disclosed or used for any purpose other 

than that for which it was first disclosed.