Common use of AGREED FACTS Registration History Clause in Contracts

AGREED FACTS Registration History. 6. Since 1993, the Respondent has been registered in British Columbia as a mutual fund salesperson (now known as a Dealing Representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA.

AGREED FACTS Registration History. 6. Since 1993December 19, 1994, the Respondent has been registered in British Columbia Ontario as a dealing representative (formerly known as a mutual fund salesperson (now known as a Dealing Representativesalesperson) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA. Since March 11, 1999, the Respondent has been registered as a branch manager with PFSL.

AGREED FACTS Registration History. 6. Since 1993December 2, 2011, the Respondent has been registered in British Columbia Ontario as a mutual fund salesperson (now known as a Dealing Representativedealing representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA.

AGREED FACTS Registration History. 67. Since 19931997, the Respondent has been registered in British Columbia Ontario as a mutual fund salesperson (now known as a Dealing Representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA.

AGREED FACTS Registration History. 6. Since 1993, the The Respondent has been registered in British Columbia as a mutual fund salesperson (now known as a Dealing Representativemutual fund dealing representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. Inc. (“PFSL”), a Member of the MFDA, in British Columbia since September 1, 1999, in Ontario since November 1995 and in Alberta since March 1998. From December 1996 to present, the Respondent has also been registered as a branch manager with PFSL.

AGREED FACTS Registration History. 67. Since 1993November 1995, the Respondent has been registered in British Columbia Ontario as a mutual fund salesperson (now known as a Dealing Representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. Inc. (“PFSL”), a Member member of the MFDA.

AGREED FACTS Registration History. 67. Since 1993January 2004, the Respondent has been registered in Alberta and British Columbia as a mutual fund salesperson (now known as a Dealing Representativedealing representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA.

AGREED FACTS Registration History. 67. Since June 1993, the Respondent has been registered in British Columbia Alberta as a mutual fund salesperson (now known as a Dealing Representativedealing representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA.

AGREED FACTS Registration History. 67. Since 1993November 1995, the Respondent has been registered in British Columbia Ontario as a mutual fund salesperson (now known as a Dealing Representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. Inc. (“PFSL”), a Member of the MFDA.

AGREED FACTS Registration History. 67. Since 1993May 2005, the Respondent has been registered in Alberta and British Columbia as a mutual fund salesperson (now known as a Dealing Representativedealing representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA. The Respondent has also been registered as a dealing representative in the province of New Brunswick since February 2014.

AGREED FACTS Registration History. 6. Since 1993December 30, 2002, the Respondent has been registered in British Columbia as a mutual fund salesperson (now known as a Dealing Representativemutual fund dealing representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. Inc. (“PFSL”), a Member of the MFDA.