CIRO Sanctions Robert Barber
VANCOUVER, BC, June 14, 2023 /CNW/ - On May 26, 2023, a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) accepted a settlement agreement, with sanctions, between Enforcement Staff and Robert Barber.
- VANCOUVER, BC, June 14, 2023 /CNW/ - On May 26, 2023, a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) accepted a settlement agreement, with sanctions, between Enforcement Staff and Robert Barber.
- Mr. Barber admitted that he failed to fulfill gatekeeper responsibilities.
- Between December 2017 and August 2018, Mr. Barber failed to fulfill his gatekeeper responsibilities, contrary to IIROC Rule 1400.
- Mr. Barber also agreed to pay costs in the amount of $5,000.