Common use of AGREED FACTS Registration History Clause in Contracts

AGREED FACTS Registration History. 7. Since 1996, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001, the Respondent has been registered with Global Maxfin Investments Inc. (“Global”), a Member of the MFDA. 9. At all material times, the Respondent conducted business in the Mississauga, Ontario area.

AGREED FACTS Registration History. 76. Since 1996January 8, 1980, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001, the Respondent has been registered dealing representative) with Global Maxfin Investments Investors Group Financial Services Inc. (“GlobalInvestors Group”), a Member of the MFDA. 97. At all material times, times the Respondent conducted carried on business in the MississaugaSt. Catharines, Ontario areaOntario.

AGREED FACTS Registration History. 76. Since 1996February 1976, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001, the Respondent has been registered ) with Global Maxfin Investments Investors Group Financial Services Inc. (“GlobalInvestors Group”), a Member member of the MFDA. 97. At all material times, the Respondent conducted business in the MississaugaBelleville, Ontario areaOntario.

AGREED FACTS Registration History. 7. Since 19962002, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001, the Respondent has been registered ) with Global Maxfin Investments Investors Group Financial Services Inc. (“GlobalInvestors Group”), a Member of the MFDA. The Respondent has also been registered in Alberta since, at the latest, 2009. 98. At all material times, the Respondent conducted business in the MississaugaUxbridge, Ontario area.

AGREED FACTS Registration History. 7. Since 19961990, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001December 2000, the Respondent has been registered in Ontario with Global Maxfin FundEX Investments Inc. (“GlobalFundEX”), a Member of the MFDA. 98. At all material times, the Respondent conducted business in the Mississauga, Ontario area.

AGREED FACTS Registration History. 7. Since 1996From August 2009 to April 2017, the Respondent has been was registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001, the Respondent has been registered dealing representative) with Global Maxfin Investments Investors Group Financial Services Inc. (“GlobalInvestors Group”), a Member of the MFDA. 8. On April 28, 2017, the Respondent resigned from Investors Group, and she is no longer registered in the securities industry in any capacity. 9. At all material times, the Respondent conducted business in the MississaugaCollingwood, Ontario area.

AGREED FACTS Registration History. 7. Since 19961999, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001March 2000, the Respondent has been registered in Ontario with Global Maxfin Investments Inc. Investia Financial Services Inc.1 (“GlobalInvestia”), a Member of the MFDA. 8. Since 2005, Investia has designated the Respondent as branch manager. 9. At all material times, the Respondent conducted business in the MississaugaRichmond Hill, Ontario area.

AGREED FACTS Registration History. 76. Since 1996May, 1994, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001, the Respondent has been registered dealing representative) with Global Maxfin Investments Investors Group Financial Services Inc. (“GlobalInvestors Group”), a Member of the MFDA. 97. At all material times, the Respondent conducted business in the MississaugaNewmarket, Ontario areaOntario.

AGREED FACTS Registration History. 7‌ 6. Since 1996August 1990, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 2001, the Respondent has been registered ) with Global Maxfin Investments Investors Group Financial Services Inc. (“GlobalInvestors Group”), a Member of the MFDA. 97. At all material times, the Respondent conducted business in the MississaugaPeterborough, Ontario area.

AGREED FACTS Registration History. ‌ 7. Since 19961994, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 20012011, the Respondent has been registered in Ontario with Global Maxfin Investments Investia Financial Services Inc. (“GlobalInvestia”), a Member of the MFDA. 9. At all material times, the Respondent conducted business in the MississaugaMarkham, Ontario area.

AGREED FACTS Registration History. 7. Since 19961997, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). 8. Since 20012002, the Respondent has been registered with Global Maxfin Investments Investia Financial Services Inc. (“GlobalInvestia”), a Member of the MFDA. Since 2004 and 2012, the Respondent has been registered in British Columbia and Alberta, respectively. 9. Between 2009 and 2012, Investia designated the Respondent as a branch manager. 10. At all material times, the Respondent conducted business in the MississaugaWoodbridge, Ontario area.