CIRO Hearing Panel issues Reasons for Decision in the matter of Mei-Hui Bobb

Vancouver (British Columbia), February 1, 2024 – Following a settlement hearing under the Mutual Fund Dealer Rules held on December 12, 2023, in Toronto, Ontario, a hearing panel of the Canadian Investment Regulatory Organization (CIRO) found that Mei-Hui Bobb:

1. photocopied signature pages from account forms that had previously been signed by clients and re-used the signature pages to complete seven additional account forms in respect of five clients;
2. altered and used to process transactions 18 account forms in respect of 15 clients by altering information on the account forms without having the client initial the alterations; and
3. obtained, possessed and used to process transactions, 17 pre-signed account forms in respect of six clients.

The hearing panel issued its reasons for decision on January 19, 2024, which are available at:

Re Bobb 2024 CIRO 12

In its reasons for decision, the hearing panel confirmed the sanctions imposed on Mei-Hui Bobb. In particular:

1. a suspension from conducting securities related business in any capacity while in the employ of or associated with any Dealer Member of CIRO registered as a mutual fund dealer for a period of two months commencing on the third business day after the acceptance of this Settlement Agreement; and
2. a fine of $28,000.

Mei-Hui Bobb is also required to pay costs in the amount of $5,000.

During the period described in the Settlement Agreement, Mei-Hui Bobb carried on business in the Surrey, British Columbia area.