Common use of EXECUTION OF SETTLEMENT AGREEMENT Clause in Contracts

EXECUTION OF SETTLEMENT AGREEMENT. 29. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 30. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2926. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3027. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇ “WGM” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER WGM Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2932. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3033. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇-▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ERMH” ER MH Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2937. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3038. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ “▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2938. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3039. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ERGB” ER GB Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2945. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3046. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ERAH” ER AH Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – EnforcementEnforcement DM 680578

EXECUTION OF SETTLEMENT AGREEMENT. 2934. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3035. A facsimile copy of any signature shall be effective as an original signature. ▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇ “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2964. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3065. A facsimile copy of any signature shall be effective as an original signature. “▇▇Dated this 30th day of October, 2013. Witness – Signature ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Compliance Officer “ER” ER Witness – Signature Witness – Print Name & Ultimate Designated Person PDQ Financial Services Inc. “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – - Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2957. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3058. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇ ▇▇▇▇▇▇ “▇▇▇▇▇▇▇” ▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2931. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3032. A facsimile An electronic copy of any signature shall be effective as an original signature. DATED this 25th day of November, 2020. Carte Wealth Management Inc. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇PH” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ ” Staff of the MFDA Per: ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2935. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3036. A facsimile copy of any signature shall be effective as an original signature. “Dated: June 29, 2011 ▇. ▇. ▇▇▇▇▇▇▇▇▇ “▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” NameWitness- Signature Queensbury Strategies Inc. Per: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA C.A., President and CCO Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2931. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3032. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇ “▇▇▇ ▇▇▇▇▇▇” ▇▇▇ Title: Chief Operating Officer “ER” ER ▇▇▇▇▇▇ Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2925. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3026. A facsimile copy of any signature shall be effective as an original signature. Dated: April 8, 2009 “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇“▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation Witness – EnforcementPrint Name

EXECUTION OF SETTLEMENT AGREEMENT. 2932. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3033. A facsimile copy of any signature shall be effective as an original signature. Dated: June 19, 2009 “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” Witness - Signature ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇ ▇▇ . ▇▇▇▇▇▇ Senior Executive Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2936. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3037. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇▇ ▇▇▇▇▇▇▇” “▇▇▇▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇Witness – Signature ▇▇▇▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2936. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3037. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇DATED this 8th day of May, 2018. ▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ERBM” ER BM Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2930. This Settlement Agreement may be signed in one or more counterparts counterparts, which together together, shall constitute a binding agreement. 3031. A facsimile copy of any signature shall be effective as an original signature. “▇▇Dated this 15th day of January, 2014. Witness – Signature Sofela ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – - Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcementname

EXECUTION OF SETTLEMENT AGREEMENT. 2937. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3038. A facsimile copy of any signature shall be effective as an original signature. Dated this 21st day of May, 2014. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: “▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇” Witness – Signature ▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature ▇▇▇▇▇▇ ▇▇▇▇▇ Witness – Print Name name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2932. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3033. A facsimile copy of any signature shall be effective as an original signature. Dated: July 2, 2010. “▇▇▇▇▇▇ ▇▇” “▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” NameWitness – Signature Excel Financial Growth Inc. Per: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇, President ▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature ▇▇ Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2948. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3049. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇Dated: December 8, 2010 ▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Witness - Signature Witness - Print name Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2931. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3032. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇ ▇▇▇▇ (▇▇▇▇) ▇▇▇ “▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2931. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3032. A facsimile copy of any signature shall be effective as an original signature. signature “▇▇▇▇▇▇ ▇▇▇▇▇” Counsel for ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇ “▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2941. This Settlement Agreement The parties may be sign separate copies of this agreement. Together, these signed in one or more counterparts which together shall constitute copies will form a binding agreement. 3042. A facsimile fax copy of any signature shall will be effective treated as an original signature. “▇▇Dated this 26th day of January, 2009 Witness ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇. ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff Dated this 26th day of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-PresidentJanuary, Member Regulation – Enforcement2009

EXECUTION OF SETTLEMENT AGREEMENT. 2949. This Settlement Agreement may be signed in one or more counterparts which that together shall constitute a binding agreement. 3050. A facsimile copy of any signature shall be as effective as an original signature. “▇▇▇▇▇▇▇▇▇ ▇▇. ▇▇▇▇▇▇▇” Name: ▇▇DATED this 16th day of June, 2004 STAFF OF THE ONTARIO “▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-PresidentDirector, Member Regulation – EnforcementEnforcement Branch

EXECUTION OF SETTLEMENT AGREEMENT. 2936. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3037. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇▇Lexy ▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇ “GMK” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER GMK Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – EnforcementEnforcement (ARISING FROM SETTLEMENT HEARING ON APRIL 4, 2018)

EXECUTION OF SETTLEMENT AGREEMENT. 2936. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3037. A facsimile copy of any signature shall be effective as an original signature. Dated: January 7, 2011. “▇▇▇▇▇▇ ▇▇▇▇▇” “▇▇▇▇▇ ▇▇▇▇▇▇▇▇” Witness - Signature Laurier Capital Planning Inc. Per: ▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇ “I have authority to bind the Corporation” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – - Print Name name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2930. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3031. A facsimile copy of any signature shall be effective as an original signature. “▇▇Dated this 13th day of December, 2013. Witness – Signature ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2930. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3031. A facsimile copy of any signature shall be effective as an original signature. DATED this 25th day of November, 2015. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇Witness – Signature ▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2938. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 30. A facsimile copy of any signature shall be effective as an original signature. “▇▇▇▇Witness – Signature ▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2942. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3043. A facsimile copy of any signature shall be effective as an original signature. “DATED this 10th day of June, 2017. ▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇“MP” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ERMP” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 2936. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 3037. A facsimile copy of any signature shall be effective as an original signature. DATED this 9th day of January, 2023. “▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇” Name: ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Title: Chief Operating Officer “ER” ER Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇▇ Senior Witness – Signature “▇▇▇▇▇▇▇ ▇▇▇▇” Staff of the MFDA Per: ▇▇▇▇▇▇▇ ▇▇▇▇ Vice-President, Member Regulation – Enforcement