COUNTERPART TO MEMORANDUM OF UNDERSTANDING 


United States Commodity Futures Trading Commission 

and 

+ 


Superintendent of Securities (Prince Edward Island) 

COOPERATION AND THE EXCHANGE OF INFORMATION 


RELATED TO THE SUPERVISION OF CROSS-BORDER COVERED ENTITIES 


July 27, 2016 
Appendix I 

COUNTERPART 

1. 	 The Memorandum ofUnderstanding Concerning Cooperation and the Exchange of 


Information Related to the Supervision ofCross-Border Covered EntWes ("MOU") between 


the Commodity Futures Trading Commission ("CFTC") and the Albeita Securities 


Commission, the British Columbia Securities Conunission, the Ontario Securities 


Commission, and the Quebec Autorite des marches financiers provides in Alticle Eight, 


Paragraph 41: 


Any Canadian Authority may become a party to this MOU by executing a com1terpart · 

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 (Prince Edward Island) ("SSP") are 

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

MOU in order for the SSP to become a paity to the MOU. 

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

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

the scope of the MOU. 

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

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

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 non­


public information provided pursuant to this MOU for enforcement purposes. In 


cases where a Requesting Authority seeks to use non-public infonnation obtained 


pmsuant 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 ofthe IOSCO 


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


Paragraph 33 applies to such use. 


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

words "Prince Edward Island" are hereby included in the MOU. 

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

Ministry of Finance and the Prince Edward Island Depaiiment ofFinance, if the Requesting 

Authority is the SSP. 

'I 

l 
. 

7. 	 Cooperation in accordance with this Counterpart will become effective on the date this 


Counterpart is signed by the CFTC and SSP. 


8. 	 Pursuant to Paragraph 41 ofthe MOU, the SSP will 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 SSP designates the following contact person and 

will exchange confidential emergency contact telephone information with the other MOU 

signatories: 

OFFICE OF THE PRINCE EDWARD ISLAND SUPERINTENDENT OF SECURITIES 

95 Rochford Street 


Charlottetown, Prince Edward Island 


ClA 7N8 


Canada 


Attention: Superintendent of Securities 

Telephone: 902-368-4551 


Fax: 902-368-5283 


Email: sddowling@gov.pe.ca 


;L ____.1 

This Counterpart is executed in duplicate, thisZ.?- day of J vty 2016. 

Timothy G Massad 

Chainnan Superintendent of Securities, P9 ce Edward 

For the U.S. Commodity Futures Trading Island Government (Prince Et<~rnrd Island) 

Commission 

Date: 2/2-2./tc, Date: 

I 	 '1;iZi1/J6' 

Steven Dowlin 

2