SFC Fines RHB Securities for Internal Control Failures

RHB Securities failed to effectively implement its policy for avoiding conflicts of interest between its research reports and investment banking relationships, among other compliance issues.

To continue reading...


Get access to Regulation Asia

Regulation Asia delivers the latest news, research and analysis on regulation across banking and capital markets.

Enquire about a subscription today. Get in touch with one of our team or purchase a subscription by clicking below:

Enquire Subscribe

To discuss our subscription options
please email [email protected]

To Top