The two dealer's representatives engaged in intra day short-selling activities in client accounts in 2020 when such activity was temporarily prohibited.
November 22, 2022A machine learning model was used to gain insights from industry data that will help improve the retail investor experience and outcomes.
November 9, 2022The dealer’s representatives engaged in discretionary trading without proper authorisation, causing "significant losses" to a client.
September 14, 2021The former representative committed the breaches for personal financial gain and attempted to conceal his misconduct from RHB Investment Bank’s management.
March 5, 2021The former consultant promised investors guaranteed returns but used the monies they paid for share trading in her personal account.
June 13, 2020The move is said to be the result of an "increasingly challenging" operating and broking environment, largely attributed to a slow economy and ongoing civil unrest.
December 11, 2019