Common use of EXECUTION OF SETTLEMENT AGREEMENT Clause in Contracts

EXECUTION OF SETTLEMENT AGREEMENT. 107. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. A facsimile copy of any signature shall be effective as an original signature. ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FL” “FL” Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 10726. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. 27. A facsimile copy of any signature shall be effective as an original signature. ▇Witness – Signature ▇▇▇▇▇▇ ▇. ▇▇▇▇ ▇▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FL” “FL” Witness – Signature Witness – Print Name name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 10736. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. 37. A facsimile copy of any signature shall be effective as an original signature. ▇▇▇▇▇ ▇▇▇ ▇. ▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FLTS” “FL” TS Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 107. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108100. A facsimile copy of any signature shall be effective as an original signature. ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FL” “FL” Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 10768. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. 69. A facsimile copy of any signature shall be effective as an original signature. ▇▇▇signature ▇▇▇▇ ▇. ▇▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FLDK” “FL” DK Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 10738. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. 39. A facsimile copy of any signature shall be effective as an original signature. DATED this 2nd day of October, 2019. ▇▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FLJW” “FL” JW Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 10736. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. 37. A facsimile copy of any signature shall be effective as an original signature. ▇DATED this 29th day of January, 2019. ▇▇▇▇▇▇ ▇. ▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FLLC” “FL” LC Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 10762. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. 63. A facsimile copy of any signature shall be effective as an original signature. ▇▇▇▇▇▇▇ Financial Inc. Per: ▇. ▇▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person ▇▇▇▇▇▇▇ “FLSB” “FL” SB Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 10738. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. 39. A facsimile copy of any signature shall be effective as an original signature. ▇▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FLRT” “FL” RT Witness – Signature Witness – Print Name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement

EXECUTION OF SETTLEMENT AGREEMENT. 10735. This Settlement Agreement may be signed in one or more counterparts which together shall constitute a binding agreement. 108. 36. A facsimile copy of any signature shall be effective as an original signature. ▇▇▇Witness – Signature ▇▇▇▇ ▇. ▇▇▇▇▇▇ President and Chief Operating Officer & Ultimate Designated Person “FL” “FL” Witness – Signature Witness – Print Name name “▇▇▇▇▇ ▇▇▇▇▇▇” ▇▇▇▇▇ ▇▇▇▇▇▇ Staff of the MFDA Per: ▇▇▇▇▇ ▇▇▇▇▇▇ Senior Vice-President, Member Regulation – Enforcement