Common use of AGREED FACTS Registration History Clause in Contracts

AGREED FACTS Registration History. 7. Since 1994, the Respondent has been registered as a mutual fund salesperson (now known as a Dealing Representative). 8. Since January 6, 2015, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson with FundEX Investments Inc., a Member of the MFDA (“FundEX”). 9. At all material times, the Respondent conducted business in the Thunder Bay, Ontario area.

AGREED FACTS Registration History. 76. Since 1994, the The Respondent has been registered as a in the mutual fund salesperson (now known as a Dealing Representative)industry since September 11, 1998. 87. Since January 6July 10, 20152001, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson with FundEX Investments Inc., a Member of the MFDA (the “FundEXMember”). 98. At all material times, The Respondent has no prior disciplinary history with the Respondent conducted business in the Thunder Bay, Ontario areaMFDA.

AGREED FACTS Registration History. 6. The Respondent has been registered in the mutual fund industry since 1999. 7. Since 1994May 19, 2009, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since January 6, 2015, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson ) with FundEX Investments Inc., a Member of the MFDA Inc. (“FundEX”), a member of the MFDA. 98. At all material times, the Respondent conducted his business in the Thunder BayMarkham, Ontario area.

AGREED FACTS Registration History. ‌ 6. The Respondent has been registered in the mutual fund industry since 1996. 7. Since 1994September 2006, the Respondent has been registered as a mutual fund salesperson in Ontario (now known as a Dealing Representative). 8. Since January 6, 2015, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson ) with FundEX Investments Inc., a Member of the MFDA Inc. (“FundEX”), a member of the MFDA. 98. At all material times, the Respondent conducted business in the Thunder BayScarborough, Ontario Ontario, area.

AGREED FACTS Registration History. 7. Since 19941996, the Respondent has been registered as a mutual fund salesperson Mutual Fund Salesperson (now known as a Dealing Representative). 8. Since January 6May 3, 20152000, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson Mutual Fund Salesperson with FundEX Investments Inc.Inc. (“FundEX”), a Member of the MFDA (“FundEX”)MFDA. 9. At all material times, the Respondent conducted business in the Thunder BayToronto, Ontario area.

AGREED FACTS Registration History. ‌ 6. The Respondent has been registered in the mutual fund industry since 1988. 7. Since 1994October 2004, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since January 6, 2015, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson ) with FundEX Investments Inc., a Member of the MFDA Inc. (“FundEX”), a member of the MFDA. 98. At all material times, the Respondent conducted business in the Thunder BayEssex, Ontario area.

AGREED FACTS Registration History. 7. Since 1994, the Respondent has been registered as a mutual fund salesperson (now known as a Dealing Representative). 8. Since January 6August 2011, 2015, the Respondent he has been registered in Ontario and Alberta as a mutual fund salesperson with FundEX Investments Inc., a Member of the MFDA (“FundEX”), a Member of the MFDA. 98. At all material times, the Respondent conducted business in the Thunder BayNiagara Falls, Ontario area.

AGREED FACTS Registration History. 76. Since 1994, the The Respondent has been registered as a mutual fund salesperson (now known as a Dealing Representative)in the securities industry since July 1994. 87. Since January 6July 26, 20152005, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson with FundEX Investments Inc.Inc. (“FundEX”), a Member of the MFDA (“FundEX”)MFDA. 98. At all material times, the Respondent conducted business in the Thunder BayKingston, Ontario area.

AGREED FACTS Registration History. 7. Since 19941999, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since January 6, 2015, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson with FundEX Investments Inc.Inc. (“FundEX”), a Member of the MFDA (“FundEX”)MFDA. 9. At all material times, the Respondent conducted business in the Thunder BayWaterloo, Ontario area.

AGREED FACTS Registration History. ‌ 7. Since 1994October 2007, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since January 6, 2015, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson ) with FundEX Investments Inc.Inc. (“FundEX”), a Member of the MFDA (“FundEX”)MFDA. 98. At all material times, the Respondent conducted business in the Thunder BayAncaster, Ontario area.

AGREED FACTS Registration History. 7. Since 19941997, the Respondent has been registered as a mutual fund salesperson. Since 2001, the Respondent has been registered in Ontario as mutual fund salesperson (now known as a Dealing Representative) in Ontario with FundEX Investments Inc. (“FundEX”). 8, a Member of the MFDA. Since January 6, 2015Between 2006 and 2014, the Respondent has been was also registered in Ontario and Alberta Nova Scotia as a mutual fund salesperson with FundEX Investments Inc., a Member of the MFDA (“FundEX”).FundEX.1 98. At all material times, the Respondent conducted business in the Thunder BayMississauga, Ontario area.

AGREED FACTS Registration History. ‌ 7. Since February 1994, the Respondent has been registered in the mutual fund industry. 8. Since December 1999, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since January 6, 2015, the Respondent has been registered in Ontario and Alberta as a mutual fund salesperson dealing representative) with FundEX Investments Inc.Inc. (the “Member”), a Member of the MFDA (“FundEX”)MFDA. 9. At all material times, the Respondent conducted business in the Thunder BayWaterloo, Ontario area.