Asset Management

GRC 2023 - Annual Check Up

A collection of housekeeping matters for regulated firms in Hong Kong Cognitive GRC Limited (website) is a leading provider of Governance...

Virtual Asset Regulation - Hong Kong

[Extracted from our Client Update on issues relating to the Money Laundering Reporting Officers (MLRO), Manager in Charge (MIC) for...

Quarter 3 2022 - HK MLRO Update

Introduction This quarters update was slightly delayed in anticipation of the FATF plenary in October, but we also wanted to cover the...

Operational Resilience in 2022 Holding it together

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

Climate Risk Management for SFC regulated asset manangers

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

BRMQ 2022 - SFC Annual Review

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

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...

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...

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...

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...

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...

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...

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...

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...

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