Common use of Introduction Clause in Contracts

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇ ▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇-▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ , (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (the “Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”)▇▇▇▇▇, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on by the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No.1 .

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No.1 .

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇▇ (the “Respondent”), ) consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”)▇▇▇▇▇▇▇, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on by the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ (▇▇▇▇▇▇ (the “Respondent”)▇▇) ▇▇▇▇▇, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ , (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇, (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇ ▇▇ ▇▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”)▇▇, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), ) consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. section 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”)▇▇▇▇, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”)▇, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇ ▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on by the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇Aranpreet ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), ) consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of MFDA By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇ ▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on by the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”)▇▇▇▇, consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on by the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇Tit ▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. section 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ . ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), ) consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.

Introduction. 1. Staff of the Mutual Fund Dealers Association of Canada (“Staff”) and the Respondent, ▇▇▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇ (the “Respondent”), consent and agree to settlement of this matter by way of this agreement (the “Settlement Agreement”). 2. Staff conducted an investigation of the Respondent’s activities which disclosed activity for which the Respondent could be penalized on the exercise of the discretion of the Hearing Panel pursuant to s. 24.1 of By-law No.1No. 1.