COUNTERPART TO MEMORANDUM OF UNDERSTANDING 

United States Commodity Futures Trading Commission 

and 

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Financial and Consumer Services Commission (New Brunswick) 

COOPERATION AND THE EXCHANGE OF INFORMATION 

RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES 

April 20, 2016 
Appendix C 

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 Financial and Consumer Services Commission (New Brunswick) 

("FCNB") are executing this counterpart to the MOU ("Counterpart") pursuant to Paragraph 

41 of the MOU in order for the FCNB to become a party to the MOU. 

3. The FCNB 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 FCNB as though the FCNB were 

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

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 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 

FCNB, Paragraph 33 applies to such use. 

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

word "New Brunswick" is hereby included in the MOU. 

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

Federal Ministry of Finance and the New Brunswick Department of Finance, if the 

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

Counterpart is signed by the CFTC and FCNB. 

8. Pursuant to Paragraph 41 of the MOU, the FCNB 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 FCNB designates the following contact person 

and will exchange confidential emergency contact telephone information with the other MOU 

signatories: 

FINANCIAL AND CONSUMER SERVICES COMMISSION (NEW BRUNSWICK) 

85 Charlotte Street, Suite 300 

Saint John, NB 

E2L 2J2 

Canada 

Attention: General Counsel and Secretary 

Telephone: 506-658-3060 

Fax: 506-658-3059 

Email: Secretary@fcnb.ca 

Chairman 

For the U.S. Commodity Futures Trading 

Peter Klohn 

Chair 

For the Financial and Consumer 

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