Common use of AGREED FACTS Registration History Clause in Contracts

AGREED FACTS Registration History. 7. Since May 23, 2007, the Respondent has been registered in Manitoba as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.

AGREED FACTS Registration History. 7. Since May 23, 2007, the The Respondent has been registered in Manitoba as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA, in Nova Scotia since March 2008, and Alberta since June 2013.

AGREED FACTS Registration History. 78. Since From March 13, 2009 to May 2315, 20072009, and from March 2, 2011 to March 9, 2017, the Respondent has been Xxxxxx Xxxx Xxxxxxxx was registered in Manitoba Alberta as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.

AGREED FACTS Registration History. 7. Since From May 2310, 20072007 to October 19, 2016, the Respondent has been was registered in Manitoba as a mutual fund salesperson (now known as a dealing representative) in Alberta with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.

AGREED FACTS Registration History. 76. Since May 23, 2007, the The Respondent has been was registered in Manitoba as a mutual fund salesperson (now known as a dealing representative) in the provinces of Alberta and Saskatchewan with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA) from December 2002 to December 2009.

AGREED FACTS Registration History. 7. Since May 23, December 2007, the Respondent has been registered in Manitoba as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.

AGREED FACTS Registration History. 7. Since May 23, 2007April 2008, the Respondent has been registered in Manitoba British Columbia as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.

AGREED FACTS Registration History. 76. Since May 23April 27, 20072010, the Respondent has been registered in Manitoba Alberta as a mutual fund salesperson (now known as a dealing representative) representative with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDAMFDA (the “Member”).

AGREED FACTS Registration History. 7. Since May 23, 2007, the The Respondent has been registered in Manitoba as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA, in New Brunswick since October 1989, and Nova Scotia since June 2008.

AGREED FACTS Registration History. 7. Since May 23, 2007March 2003, the Respondent has been registered in Manitoba as a mutual fund salesperson (now known as a dealing representative) in Alberta and Saskatchewan with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.

AGREED FACTS Registration History. 7. Since May 23, 20072002, the Respondent has been registered in Manitoba Ontario as a mutual fund salesperson (now known as a dealing representativeDealing Representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”)Life”)1, a Member of the MFDA.

AGREED FACTS Registration History. 7. Since May 23, June 2007, the Respondent has been registered in Manitoba Alberta as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. Inc.1 (“Sun Life”), a Member of the MFDA. At all material times, the Respondent carried on business in Edmonton, Alberta area.

AGREED FACTS Registration History. 7. Since May 23, 2007June 2001, the Respondent has been registered in Manitoba Ontario as a mutual fund salesperson (now known as a dealing representativeDealing Representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”)Life”)1, a Member of the MFDA.

AGREED FACTS Registration History. 76. Since May 23, 2007, the The Respondent has been registered in Manitoba as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA, in New Brunswick since February 22, 2010 and Ontario since June 10, 2015.

AGREED FACTS Registration History. 7. Since May 23, 2007February 1997, the Respondent has been registered in Manitoba as a mutual fund salesperson (now known as a dealing representativeDealing Representative) with Sun Life Financial Investment investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.

AGREED FACTS Registration History. 76. Since May 23August 16, 20071991, the Respondent has been registered in Manitoba Ontario as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.MFDA.1

AGREED FACTS Registration History. 76. Since May 23, 20071999, the Respondent has been registered in Manitoba Ontario as a mutual fund salesperson (now known as a dealing representativeDealing Representative) with Sun Life Financial Investment Services (Canada) Inc. 1 (“Sun Life”), a Member member of the MFDA., or its predecessor, Xxxxxxx Xxxxxxxx Inc.

AGREED FACTS Registration History. 7. Since May 23January 2001, 2007Xxxxxx Xxxxxxxx Xxxxxx, the Respondent has been registered in Manitoba Alberta as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. Inc.1 (“Sun Life”), a Member of the MFDA.. 1 Commencing January 2001, the Respondent was registered as a mutual fund salesperson with Xxxxxxx Xxxxxxxx Inc. In June 2007, Xxxxxxx Xxxxxxxx Inc. underwent a name change to Sun Life Financial Investment Services (Canada) Inc.

AGREED FACTS Registration History. 7. Since May 23, 20071984, the Respondent has been registered in Manitoba Ontario as a mutual fund salesperson (now known as a dealing representativeDealing Representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”)Life”)1, a Member of the MFDA.

AGREED FACTS Registration History. 7. Since May 23, 2007January 1999, the Respondent has been registered in Manitoba Ontario as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”)Life”)1, a Member of the MFDA.

AGREED FACTS Registration History. 76. Since May 23From September 28, 20072009 to June 5, 2012, the Respondent has been was registered in Manitoba British Columbia as a mutual fund salesperson (now known as a dealing representative) with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”)Inc., a Member of the MFDA.