COUNTERPART TO MEMORANDUM OF UNDERSTANDING 


United States Commodity Futures Trading Commission 

and 

Superintendent ofSecurities (Newfoundland and Labrador) 

COOPERATION AND THE EXCHANGE OF INFORMATION 


RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES 


November I, 2016 
Appendix J 

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 Autoritc 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 ofsuch execution to the other 

Canadian Authorities that arc signatories to this MOU. 

2. 	 The CFTC and Superintendent of Securities (Newfoundland and Labrador) ("SNL") are 

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

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

3. 	 The SNL hereby foils within the definition ofthe term "Authority" in Article One, Paragraph 

l(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 SNL as though the SNL were 

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

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 infomlation provided pursuant to this MOU for enforcement purposes. Jn 

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 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 SNL, 

Paragraph 33 applies to such use. 

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

words "Newfoundland and Labrador" arc hereby included in the MOU. 

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

Ministry of Finance and the Newfoundland and Labrador Department of Finance, if the 

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

Counterpart is signed by the CFTC and SNL. 

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

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

9. 	 To facilitate cooperation under the MOU, the SNL designates the following contoct person and 

will exchange confidential emergency contact telephone information with the other MOU 

signatories: 

FINANCIAL SERVICES REGULATION DIVISION -SERVICE NL 

P.O. Box 8700 


St. John's, NL 


AIB 4J6 


Canada 


Attention: Superintendent of Securities 

Telephone: 709-729-4909 


Fax: 709-729-3205 


Email: Securitiesexemptions@gov.nl.cn 


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This Counterpart is executed in duplicate, this / s d ay of t°2k.)v. 2016. 

r TimothyG~d j/~ Chairman 

For the U.S. Commodity Futures Trading 

Commission 

Date: I ~) 2. -:;. /Iμ;/ /.p 

I I 

n O'Brien 

uperintendent of Securities 

For the Financial Services Regulation Division 

Service NL 

Patricia A. Heam 

Deputy Minister - Intergovernmental Affairs 

Newfound;w;nd Labrador 

Date: DI Tffb . 

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