Common use of AND WHEREAS Clause in Contracts

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;; AND WHEREAS the Hearing Panel is of the opinion that the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;; AND WHEREAS the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;; AND WHEREAS on the basis of the admissions made by the Respondent in the Settlement Agreement, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1;; AND WHEREAS the Hearing Panel is of the opinion that the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] , 2015 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [dateDate] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, MFDA dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] October , 2018 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] December 18, 2018 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] August , 2018 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] December 9, 2016 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] Monday, March 31, 2008 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] July 31, 2017 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] August 12, 2009 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] March _, 2016 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] June 29, 2011 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] September 15, 2014, (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] November , 2015 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] MFDA (the “Settlement Agreement”), ) in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 24.1.1 of MFDA By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;; AND WHEREAS on the basis of the facts set out in Parts IV and V of the Settlement Agreement and the contraventions admitted by the Respondent in Part VI of the Settlement Agreement, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] March , 2016 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] February , 2015 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. s. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] January , 2023 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] December , 2015 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] , 2018 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] ], 2015 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of By-law No. 1;