Common use of AGREED FACTS Registration History Clause in Contracts

AGREED FACTS Registration History. 7. Between 1995 and 2016, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 76. Between 1995 and 2016, the The Respondent was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) in Ontario from December 8, 2014 to September 14, 2016, and in Quebec from April 28, 2015 to September 14, 2016, with Investors Group Financial Services Scotia Securities Inc. (“Investors GroupScotia”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 7. Between 1995 and 2016Since 2002, the Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016The Respondent has also been registered in Alberta since, at the Respondent was also registered as a Dealing Representative in British Columbialatest, 2009.

AGREED FACTS Registration History. 7. Between 1995 and 2016, the The Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) in Nova Scotia since January 1986, and in New Brunswick since May 2004, with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 7. Between 1995 and 2016, the The Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) in Alberta since August 7, 1984, in British Columbia since May 11, 2005, and in Newfoundland and Labrador since October 14, 2010, with Investors Group Financial Services Inc. (“Investors Group”), a Member member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 76. Between 1995 July 14, 2008 and April 17, 2016, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) with Investors Group Investia Financial Services Inc. (“Investors GroupInvestia”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 76. Between 1995 February 8, 2006 and 2016March 2017, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) with Investors Group Investia Financial Services Inc. (“Investors GroupInvestia”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 7. Between 1995 and 2016Since May 2007, the Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 7. Between 1995 and From August 22, 2007 to October 3, 2016, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 7. Between 1995 and 2016Since 1997, the Respondent was has been registered as a mutual fund salesperson. Since 2001, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) in Ontario with Investors Group Financial Services FundEX Investments Inc. (“Investors GroupFundEX”), a Member of the MFDA. Between 2013 2006 and 20162014, the Respondent was also registered in Nova Scotia as a Dealing Representative in British Columbia.mutual fund salesperson with FundEX.1

AGREED FACTS Registration History. 7. Between 1995 and 2016Since 1994, the Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) ). Since August 2011, he has been registered in Ontario with Investors Group Financial Services Inc. FundEX Investments Inc., (“Investors GroupFundEX”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 76. Between 1995 and 2016, the The Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) in Ontario since July 17, 2006 and in British Columbia since February 17, 2015 with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 76. Between 1995 and 2016Since May, 1994, the Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 76. Between 1995 and 2016Since January 8, 1980, the Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 7. Between 1995 and 2016From August 8, 2003 to November 27, 2014, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) with Investors Group Financial Services Royal Mutual Funds Inc. (“Investors GroupRoyal Mutual”), a Member of the MFDA. Between 2013 and 2016On November 27, 2014, the Respondent was also registered terminated as a Dealing Representative in British Columbiaresult of the matter described herein.

AGREED FACTS Registration History. 7. Between 1995 and 2016From August 2009 to April 2017, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 76. Between 1995 and 2016Since February 1976, the Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with Investors Group Financial Services Inc. (“Investors Group”), a Member member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.

AGREED FACTS Registration History. 7. Between 1995 and 2016Since June 2006, the Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) dealing representative)1 with Investors Group Financial Services WFG Securities Inc. (the “Investors GroupMember”), a Member of the MFDA. Between 2013 and 2016, the Respondent was also registered as a Dealing Representative in British Columbia.