News | Cognitive GRC

Sep 8

Happy Mid Autumn Festival

Jun 21

Operational Resilience in 2022 Holding it together

Operational Resilience, Exit Plans, Contingency, Continuity, Cybersecurity, Data Loss, Incident Response Plan

Jun 21

Climate Risk Management for SFC regulated asset manangers

Insert - Poolebeg WastetoEnergy (centre left) incinerator along side chimney stacks of traditional power station (centre right)....

Apr 5

AIMA ACORNS of APAC

Optimising Growth - Targeting Success Cognitive GRC Limited was delighed to share sponsorship of panel sessions during the Annual AIMA...

Feb 23

BRMQ 2022 - SFC Annual Review

Business Risk Management Questionnaire (“BRMQ”) for SFC regulated firms Note: Cognitive GRC provides services mainly to regulated firms...

Jan 31

Happy Chinese New Year

Jan 31

GRC Planning 2022 - A collection of housekeeping matters for regulated firms in Hong Kong

Note: Cognitive GRC provides services mainly to regulated firms in Hong Kong that provide services to institutional and professional...

Dec 21, 2021

Merry Christmas, Happy Holidays and all the very best for 2022

All the very best wishes to clients, collaborators, industry partners, competitors, and prospects to see you through the end of 2021 and...

Sep 29, 2021

Summer, Summary 2021 -Part 2 Deeper Dive

Some highlights from enforcement and SFC updates for Quarter 2 (originally distributed in July) We typically issue newsletter updates at...

Sep 29, 2021

Summer, Summary 2021 - Part 1 Topics of Interest

These 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, 2021

SFC CPT Compliance - Preparation for Cognition 2022

The SFC published its Consultation Conclusion on the “Proposed Enhancements to the Competency Framework for Intermediaries and Individual...

Sep 21, 2021

Happy Mid Autumn Festival

Apr 7, 2021

April Bulletin

It seems February for CFTC (Exemption Registration), March for SEC (Annual ADV) and April for SFC. Following the new format Business Risk...

Feb 11, 2021

Happy Lunar New Year of the OX

Wish all our clients, service partners, industry colleagues and thier families a prosperous and healthy year of the Ox!

Feb 11, 2021

Davos 2021 - Global Risk Report - Annual Risk Self Assessment Time

Risk based compliance programmes require engagement with stakeholders every so often to make sure that they are not completely off...

Apr 1, 2020

SFC issues guidance to fund industry participants related to the COVID-19 outbreak

The Hong Kong Securities & Futures Commission (SFC) has recently issued a series of circulars relating to the volatility in local and...

Dec 18, 2018

SFC's Fund Manager Code of Conduct - Five Important Next Steps

The deadline of November 18, 2018, has now passed for the Securities and Futures Commission’s (SFC’s) Fund Manager Code of Conduct...

Oct 11, 2018

Are You Ready? SFC's FMCC Compliance Checklist

The implementation deadline for the Securities & Futures Commission (SFC) Fund Manager Code of Conduct (FMCC) is now less than one month...

Jul 16, 2018

Five Key Steps to Compliance with the SFC’s Fund Manager Code of Conduct

Investment management firms with operations in Hong Kong must turn its attention to the new Securities & Futures Commission (SFC) Fund...

Mar 28, 2018

SFC Consultation on Fund Manager Code of Conduct (FMCC): 10 key points

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