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    AIMA ACORNS of APAC
    • 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...
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    BRMQ 2022 - SFC Annual Review
    • 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...
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    Happy Chinese New Year
    • Jan 31

    Happy Chinese New Year

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    GRC Planning 2022 - A collection of housekeeping matters for regulated firms in Hong Kong
    • 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...
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    Merry Christmas, Happy Holidays and  all the very best for 2022
    • 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...
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    • 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...
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    • 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...
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    SFC CPT Compliance - Preparation for Cognition 2022
    • 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...
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    Happy Mid Autumn Festival
    • Sep 21, 2021

    Happy Mid Autumn Festival

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    • 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...
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    Happy Lunar New Year of the OX
    • 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!
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    • 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...
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    • Mar 31, 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...
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    • Dec 17, 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...
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    • 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...
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    • 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...
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    • Mar 28, 2018

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

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

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    Hong Kong

    info@cognitivegrc.com

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