Common use of Introduction Clause in Contracts

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxx Xxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxx-Xxxxx Xxxxxx Xxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxx Xxxxx Xxxxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)Xxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the RespondentXxxx Xxxxxx Xxxxxxxx, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxxxxx Xxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the RespondentXxxxxx Xxxxxxx Xxxxxxxx, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxx Xxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)Xxxxxxxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxx Xxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxx Xxxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxx Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Church (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)Xxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx Xxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on by the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxxxxx Xxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxx Xxxxxx Xxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Juno XxXxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxxxx Xxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxx Xxxxxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxx (the “Respondent”), ) consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxx Xxxxxxx Xxxxx Xxxxxx Xxxxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxx Xxxxx Xxxxxx (the “Respondent”)Xxxxxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xx Xxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxx Xxxxxxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No.1 .

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)Xxxx Xxxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)Xxxxxx Xxxxxxxxxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxx Xxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxxxx Xxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxxxx Xxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)Xxxxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. section 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)X. Xxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxx-Tak Xxxxxx Xxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)Xxxxxxxx Xx Xxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxx Xxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the RespondentXxxxxx Xxxx Xxxxxxxx and Xxxx Xxxxxxx Xxxxxxxx (collectively, Xxxxxxx Xxxxx Xxxxxx (the “RespondentRespondents”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s Respondents’ activities which disclosed activity for which the Respondent Respondents could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. section 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. section 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxx-Xxxxxx Xxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. section 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxxx Xxxxxxxxx Xxxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxx Xxxxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. section 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxxxx Xxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxx Xxxxxxx Xxxxx Xxxxxx Xxxxxxx Xxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxxxx Xxxxxxx Xxxxx Xxxxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxx Xxxxx Xxxxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxx Xxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxx Xxxxxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxx Xxxxxxx Xxxxx Xxxxxx Xxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Tit Xxxx Xx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the RespondentXxxxxx Xxxxxxxx Xxxx, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxx Xxxx Xx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”)Xxxxxx Xxxxxx, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxxxx Xxxx Xxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxxx Xxxxx Xxxxxx Xxxxxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxx Xxxxxxx Xxxxx Xxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxx Xxxx Xxxxxx Xxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxx Xxxxxxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. section 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxx Xxxxxxx Xxxxx Xxxxxx (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.