COUNTERPART TO MEMORANDUM OF UNDERSTANDING 


United States Commodity Futures Trading Commission 

and 

+ 


Superintendent of Securities (Northwest Territories) 

COOPERATION AND THE EXCHANGE OF INFORMATION 


RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES 


July 27, 2016 
Appendix G 

COUNTERPART 

1. 	 The Memorandum ofUnderstanding Concerning Cooperation and the Exchange of 

Information Related to the Supervision ofCross-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 Superintendent of Securities (Northwest Territories) ("SSNT") are 

executing this counterpart to the MOU ("Counterpart") pursuant to Paragraph 41 ofthe 

MOU in order for the SSNT to become a party to the MOU. 

3. 	 The SSNT hereby falls within the definition ofthe term "Authority" in Article One, 

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

Authorities within the scope ofthe MOU. 

4. 	 All terms and provisions ofthe MOU hereby apply to the SSNT as though the SSNT were 

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

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 taking enforcement action, treatment ofthe non-public information 

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

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

Paragraph 33 applies to such use. 

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

words ''Northwest Territories" are hereby included in the MOU. 

6. 	 With respect to the SSNT, the definition ofthe term "Governmental Entity" means the 

Federal Ministry ofFinance and the Northwest Territories Department of Finance, ifthe 

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


Counterpart is signed by the CFTC and SSNT. 


8. 	 Pursuant to Paragraph 41 ofthe MOU, the SSNTwill provide notice ofthe execution ofthis 


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


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

will exchange confidential emergency contact telephone information with the other MOU 

signatories: 

OFFICE OF THE SUPERINTENDENT OF SECURITIES {NORTHWEST TERRITORIES) 

5009 49 Street 

PO Box 1320 

Yellowknife, NT 

XlA2L9 

Canada 

Attention: Superintendent of Securities 

Telephone: 867-767-9305 


Fax: 867-873-0243 


Email: SecuritiesRegistry@gov.nt.ca 


This Counterpart is executed in duplicate, this17""'day of Jc..tly 2016. 

'[ JYLTim6tby~saa Thomas Hall 

Chairman Superintendent of Securities 

For the U.S. Commodity Futures Trading Department ofJustice 

Commission Government ofthe Northwest Territories 

Date: :hc.ly 2~ ~tt 

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