COUNTERPART TO MEMORANDUM OF UNDERSTANDING 

United States Commodity Futures Trading Commission 

and 

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Nova Scotia Securities Commission 

COOPERATION AND THE EXCHANGE OF INFORMATION 

RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES 

April 20, 2016 
Appendix E 

COUNTERPART 

1. The Memorandum of Understanding Concerning Cooperation and the Exchange of 

Information Related to the Supervision of Cross-Border Covered Entities ("MOU") between 

the Commodity Futures Trading Commission ("CFTC") and the Alberta Securities 

Commission, the British Columbia Securities Commission, the Ontario Securities 

Commission, and the Quebec Autorite des marches financiers provides in Article Eight,

Paragraph 41: 

Any Canadian Authority may become a party to this MOU by executing a counterpart 

hereof together with the CFTC and providing notice of such execution to the other 

Canadian Authorities that are signatories to this MOU. 

2. The CFTC and the Nova Scotia Securities Commission ("NSSC") are executing this 

counterpart to the MOU ("Counterpart") pursuant to Paragraph 41 of the MOU in order for 

the NSSC to become a party to the MOU. 

3. The NSSC hereby falls within the definition of the term "Authority" in Article One, 

Paragraph 1(b), of the MOU, and is a Canadian Authority and one of the Canadian 

Authorities within the scope of the MOU. 

4. All terms and provisions of the MOU hereby apply to the NSSC as though the NSSC were 

specifically referenced in the MOU, except with respect to the NSSC: 

32. The Authorities recognize that, while this MOU is not intended to gather information 

for enforcement purposes, subsequently the Authorities may want to use the nonpublic information provided pursuant to this MOU for enforcement purposes. In 

cases where a Requesting Authority seeks to use non-public information obtained 

pursuant to this MOU for enforcement purposes, including in conducting 

investigations or talcing enforcement action, treatment of the non-public information 

will be in accordance with the use and confidentiality provisions of the IOSCO 

MMOU. However with respect to information shared between the CFTC and NSSC, 

Paragraph 33 applies to such use. 

5. With respect to the NSSC, where specific Canadian provinces are named in the MOU, the 

word "Nova Scotia" is hereby included in the MOU. 

6. With respect to the NSSC, the definition of the term "Governmental Entity" means the 

Federal Ministry of Finance and the Nova Scotia Ministry of Finance and Treasury Board, if 

the Requesting Authority is the NSSC. 
7. Cooperation in accordance with this Counterpart will become effective on the date this 

Counterpart is signed by the CFTC and NSSC. 

8. Pursuant to Paragraph 41 of the MOU, the NSSC will provide notice of the execution of this 

Counterpart to the other Canadian Authorities that are signatories to the MOU. 

9. To facilitate cooperation under the MOU, the NSSC designates the following contact person 

and will exchange confidential emergency contact telephone information with the other 

MOU signatories: 

NOVA SCOTIA SECURITIES COMMISSION 

Suite 400, Duke Tower 

5251 Duke Street 

Halifax, Nova Scotia 

B3J 2P8 Canada 

Attention: Director of Policy and Market Regulation 

Telephone: 902-424-0179 

Fax: 902-424-4625 

Email: jane.anderson@novascotia.ca 

This Counterpart is executed in duplicate, this jZc^Tlay of 2016. 

Paul E. Radford, Q.C. 

Chairman Chair 

For the U.S. Commodity Futures Trading For the Nova Scotia Securities Commission 

Commission 

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