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 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 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 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 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 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 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 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 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 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 (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 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 (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 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 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 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 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 (the “Respondent”)Xxxxxxxxxxx Xxxxxxxxx, 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 Said Xxxxx Xxxxxx Xx-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”)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, 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 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, 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 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. 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 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 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 Xxxxx Xxxxxx Xxxxx Xxxx Chow (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 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 (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”)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 (Xxxxx) He (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 (Pan) 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, 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 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 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 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 (the “Respondent”)Xxxxxxxxxxx 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 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 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 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, Xxxxxxx Ping-Xxxxx Xxxxxx Xxxxx 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 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. 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 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, Xxxxxxx Xxxxx Xxxxxx Xxx 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.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. 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 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 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, 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 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 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.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxx-Xxx Xxxxxx 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 Respondent, Xxxx Xxxxxxx 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 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 Xxxxxx 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 Xxxxx 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. 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 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.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx X’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 Xxxx Xxxx 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 Xxxxxxxxxxx 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 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 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, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxxx 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 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 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 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 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, Xxxxxxx Xxxxx Xxxxxx Xxxx Xxx 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.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 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 Xxxxxx Xxxxxxx 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 Xxxx 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.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx 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 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 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, 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 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.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.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.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, Xxxxxxx Xxxxx Xxxxxx 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, 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.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, Xxxxxxx Xxxxx Xxxxxx Xxxxxxxxxxxxx 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 Xxxxxxx 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, 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 (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 Xxxxxxxxx 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 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 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 MFDA 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, 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.