Common use of AGREED FACTS Registration History Clause in Contracts

AGREED FACTS Registration History. 7. Since November 1991, the Respondent has been registered with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA. Since November 2003, the Respondent has been registered as a branch manager. 8. At all material times, PFSL designated the Respondent as branch manager in his branch. 9. At all material times, the Respondent conducted business in the Vaughan, Ontario area.

AGREED FACTS Registration History. 7. Since November 19911995, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with PFSL Investments Canada Ltd. Inc. (“PFSL”), a Member of the MFDA. Since November 2003, the Respondent has been registered as a branch manager. 8. At all material times, PFSL designated the Respondent as the alternate branch manager in his branch. 9. At all material times, the Respondent conducted business in the Vaughan, Ontario area.

AGREED FACTS Registration History. 7. Since November 19911997, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative) with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA. 8. Since November 2003December 2014, PFSL has designated the Respondent has been registered as a branch manager. 8. At all material times, PFSL designated the Respondent as branch manager in his branch. 9. At all material times, the Respondent conducted business in the VaughanToronto, Ontario area.

AGREED FACTS Registration History. 7. Since November 1991January 2004, the Respondent has been registered in Alberta and British Columbia as a mutual fund salesperson (now known as a dealing representative) with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA. Since November 2003, the Respondent has been registered as a branch manager. 8. At all material times, PFSL designated the Respondent as branch manager in his branch. 9. At all material times, the Respondent conducted business in the VaughanGrand Prairie, Ontario Alberta area.

AGREED FACTS Registration History. 76. Since November 1991December 19, 1994, the Respondent has been registered in Ontario as a dealing representative (formerly known as a mutual fund salesperson) with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA. Since November 2003March 11, 1999, the Respondent has been registered as a branch managermanager with PFSL. 87. At all material times, PFSL designated the Respondent as branch manager in his branch. 9. At all material timesSince June 2004, the Respondent has conducted business in the VaughanMarkham, Ontario areaOntario.

AGREED FACTS Registration History. 76. Since November 1991December 2, 2011, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a dealing representative) with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA. Since November 2003, the Respondent has been registered as a branch manager. 8. At all material times, PFSL designated the Respondent as branch manager in his branch. 97. At all material times, the Respondent conducted business in the VaughanToronto, Ontario areaOntario.