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SFC fines RHB Securities Hong Kong Ltd HK$6.4m | Listings sponsored by RHB
SFC, 2-Jan-2020
One of the 4 matters involved was failure to fully disclose a listing sponsorship in a Nov-2015 research report on an unnamed client. We can tell you that the only listing sponsored by RHB Capital HK Ltd in 2015 was Clear Lift Holdings Ltd (now Hao Tian International Construction Investment Group Ltd, 1341.HK).
Organisations
- Hao Tian International Construction Investment Group Limited 昊天國際建設投資集團有限公司
- RHB CAPITAL HONG KONG LIMITED 興業金融融資有限公司
- RHB SECURITIES HONG KONG LIMITED 興業金融證券有限公司
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