COUNTERPART TO MEMORANDUM OF UNDERSTANDING 


United States Commodity Futures Trading Commission 

and 

Superintendent of Securities (Nunavut) 

COOPERATION AND THE EXCHANGE OF INFORMATION 


RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES 


July 27, 2016 
Appendix lI 

C OUNTERPAlff 

' 1. 	 • he .Me111ornnd11111 o.f Understanding Conc:eming Coopemtion and the E\'change of 

li?fom1ation Related to the Supe1·Fisio11 ofCross-Border Covered Entities ("MOU") between 

the Commodity Future. Trnding Commission ("CPTC") nnd the Albert a Securities 

Commission, the British Columbi a Securities Commission, the Ont"t1rio Secur.ities 

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

Paragraph 41: 

Any Canadian Authority may become a party lo this MOU by executing a counlerparl 

hereof together wi lb the Cf'TC and providing noti ce of such execution to the other 

Canadian Authorities that are signatories lo this MOU. 

2. 	 t he Cf'TC and the Superintendent of Securities (Nunavut) ("SSNU ') are executing this 

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

the SSNlJ to become a party to the MOU. 

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3. 	 The SSNU hereby falls within the definition of the term "Authority" in Artide One, 

farag rnph 1(b), of the MOU, nml is a Canadian Authority nncl one of the Canadian 

Authorities within the scope of the MOU. 

4. 	 All terms and prnvisions of the MOU hereby apply to the SSNU as though the SSNU were 

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

32. The Authorities recognize that, while this MOlJ 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. Tn 

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, trentment 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 

SSNU, Paragraph 33 npplics to such use. 

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

word "Nunavut" is hereby included in the MOU. 

6. 	 With respect to the SSNU, the definition or the term "Governmental Entity" means the 

Jfeclernl Ministry of finance and the Nunavut Department of Finance, if the Requesting 

Authority is the SSNU. 
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7. 	 cboperation in accordance with this Counterpart will become effective on the elate this 

d unterparl is signed by the CFTC and SSNU. 

8. P 1rsuanl to Pan1graph 41 of the MOU, the SSNU will provide notice of the execution of this 

unlerpart to !he other Canadian Authoriti es that are signatories lo the M.OU. 

9. 	 Tb facilitate cooperation under the MOU, the SSNU designates the following contact person 

ai{d will exchange confidential emergency contact telephone information with the other MOU 

si natori es: 

I 0FFJCE OF Tl-I E NUNAVUT S Ul'JmINTENDENT OF SEC URITIES 

P.O. Box l 000, Station 570 


j 

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Iqaluit, Nunavut 


XOA OHO 


Canada 


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; Attention: Superintendent of Securities 

Telephone: 867-975-6531 


Fax: 867-975-6594 


Email: Securities@gov.1111 .ca 


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This Counterpart is executed in duplicate, thi~lay of~ 2016. 

Timothy G. Massac! 
 Q, ~::' P.J1L:&

Chairman Superintendent of Securities 


For the U.S. Commodity Put mes Trading Nunavut Dcpmtrnent of.Justice (Nunavut) 


Commission 


Dale: '2 / 22/! C:. 


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