Apr 5AIMA ACORNS of APACOptimising Growth - Targeting Success Cognitive GRC Limited was delighed to share sponsorship of panel sessions during the Annual AIMA...
Feb 23BRMQ 2022 - SFC Annual ReviewBusiness Risk Management Questionnaire (“BRMQ”) for SFC regulated firms Note: Cognitive GRC provides services mainly to regulated firms...
Jan 31GRC Planning 2022 - A collection of housekeeping matters for regulated firms in Hong KongNote: Cognitive GRC provides services mainly to regulated firms in Hong Kong that provide services to institutional and professional...
Dec 21, 2021Merry Christmas, Happy Holidays and all the very best for 2022All the very best wishes to clients, collaborators, industry partners, competitors, and prospects to see you through the end of 2021 and...
Sep 29, 2021Summer, Summary 2021 -Part 2 Deeper DiveSome highlights from enforcement and SFC updates for Quarter 2 (originally distributed in July) We typically issue newsletter updates at...
Sep 29, 2021Summer, Summary 2021 - Part 1 Topics of InterestThese are just some of things we raised in our newsletter update earlier this summer and thought that some of our wider contacts might be...
Sep 29, 2021SFC CPT Compliance - Preparation for Cognition 2022The SFC published its Consultation Conclusion on the “Proposed Enhancements to the Competency Framework for Intermediaries and Individual...
Apr 7, 2021April BulletinIt seems February for CFTC (Exemption Registration), March for SEC (Annual ADV) and April for SFC. Following the new format Business Risk...
Feb 11, 2021Happy Lunar New Year of the OXWish all our clients, service partners, industry colleagues and thier families a prosperous and healthy year of the Ox!
Feb 11, 2021Davos 2021 - Global Risk Report - Annual Risk Self Assessment TimeRisk based compliance programmes require engagement with stakeholders every so often to make sure that they are not completely off...
Mar 31, 2020SFC issues guidance to fund industry participants related to the COVID-19 outbreakThe Hong Kong Securities & Futures Commission (SFC) has recently issued a series of circulars relating to the volatility in local and...
Dec 17, 2018SFC's Fund Manager Code of Conduct - Five Important Next StepsThe deadline of November 18, 2018, has now passed for the Securities and Futures Commission’s (SFC’s) Fund Manager Code of Conduct...
Oct 11, 2018Are You Ready? SFC's FMCC Compliance ChecklistThe implementation deadline for the Securities & Futures Commission (SFC) Fund Manager Code of Conduct (FMCC) is now less than one month...
Jul 16, 2018Five Key Steps to Compliance with the SFC’s Fund Manager Code of ConductInvestment management firms with operations in Hong Kong must turn its attention to the new Securities & Futures Commission (SFC) Fund...
Mar 28, 2018SFC Consultation on Fund Manager Code of Conduct (FMCC): 10 key pointsSFC Consultation on Fund Manager Code of Conduct (FMCC): 10 key points