COUNTERPART TO MEMORANDUM OF UNDERSTANDING 


United States Commodity Futures Trading Commission 

and 

+ 


Superintendent of Securities (Yukon) 

COOPERATION AND THE EXCHANGE OF INFORMATION 


RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES 


July 27, 2016 
Appendix F 

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 Atticle 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 ("SSY") are executing this counterpart to the 

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

a party to the MOU. 

3. 	 The SSY hereby falls within the definition ofthe term "Authority" in Atticle One, Paragraph 

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

the scope of the MOU. 

4. 	 All te1ms and provisions ofthe MOU hereby apply to the SSY as though the SSY were 

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

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 info1mation 

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

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

Paragraph 33 applies to such use. 

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

word "Yukon" is hereby included in the MOU. 

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

Ministly ofFinance and the Yukon Department ofFinance, ifthe Requesting Authority is 

the SSY. 
7. 	 Cooperati on in accordance with this Counterpart will become effecti ve on the date this 

Counterpart is signed by the CFTC and SSY. 

8. 	 Pmsuant Lo Paragraph 41 of the MOU, the SSY will provide notice of the execution of this 

Counterpart to the other Canadi an Authorities that arc signatori es to the MOU. 

9. 	 To facilitate cooperati on under the MOU, the SSY designates the follo·win g contact person and 

will exchange confidenli al emergency contact telephone in fo rmati on ·with the other MOU 

signatori es: 

OFFICE OF TH E Y UKON S UPERINTENDENT OF SECURITIES 

307 I3lack Street 


Whitehorse, Yukon 


YlA 2Nl 


Canada 


Attention: Superintendent of Securiti es 

Telephone: 867-667-5466 


Fax: 867-393 -6251 


Email : Securilies@gov.yk.ca 


hi srerpnrt~ e~=dup1icn1e, thi s ~1 1~7 Pt=

Timothy G. rv ,ssad Freel Pretorius 

Chai rm an Superintendent of Secmi ties (Yukon) 

For the U.S. Commodity Futures Trading Department of Community Services 

Commission Yukon GJovernn}ent 

Date: z/'2-?jtb Date: _]_ Z1_/ _f_fo_. 

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