Common use of AGREED FACTS Registration History Clause in Contracts

AGREED FACTS Registration History. 7. From August 8, 2003 to November 27, 2014, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a dealing representative) with Royal Mutual Funds Inc. (“Royal Mutual”), a Member of the MFDA. On November 27, 2014, the Respondent was terminated as a result of the matter described herein.

AGREED FACTS Registration History. 76. From August 8May 9, 2003 2001 to November 27October 29, 2014, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a dealing representative) with Royal Mutual Funds Inc. (“Royal Mutual”), a Member of the MFDA. On November 27, 2014, the Respondent was terminated as a result of the matter described herein.

AGREED FACTS Registration History. 7. From August 8, 2003 November 2013 to November 27, 2014, October 2016 the Respondent was registered in Ontario Alberta as a mutual fund salesperson (now known as a dealing representative) with Royal Mutual Funds Inc. (“Royal Mutual”), a Member of the MFDA. On November 27, 2014, the Respondent was terminated as a result of the matter described herein.

AGREED FACTS Registration History. 76. From August 8February 3, 2003 2009 to November 27December 24, 20142010, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a dealing representative) with Royal Mutual Funds Inc. (“Royal MutualRoyal”), a Member of the MFDA. On November 27MFDA since May 22, 2014, the Respondent was terminated as a result of the matter described herein2001.

AGREED FACTS Registration History. 76. From August 8Since March 6, 2003 to November 27, 20142007, the Respondent was has been registered in Ontario as a mutual fund salesperson (now known as a dealing representative) with Royal Mutual Funds Inc. (“Royal MutualRMFI”), a Member of the MFDA. On November 27, 2014, the Respondent was terminated as a result of the matter described herein.MFDA.1

AGREED FACTS Registration History. 7. From August 822, 2003 2007 to November 27October 3, 20142016, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a dealing representativeDealing Representative) with Royal Mutual Funds Investors Group Financial Services Inc. (“Royal MutualInvestors Group”), a Member of the MFDA. On November 27, 2014, the Respondent was terminated as a result of the matter described herein.