GRC 2023 - Annual Check Up
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A collection of housekeeping matters for regulated firms in Hong Kong Cognitive GRC Limited (website) is a leading provider of Governance...

- Nov 1, 2022
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...

- Nov 1, 2022
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...

- Jun 21, 2022
Operational Resilience in 2022 Holding it together
Operational Resilience, Exit Plans, Contingency, Continuity, Cybersecurity, Data Loss, Incident Response Plan


- Jun 21, 2022
Climate Risk Management for SFC regulated asset manangers
Insert - Poolebeg WastetoEnergy (centre left) incinerator along side chimney stacks of traditional power station (centre right)....

- Feb 23, 2022
BRMQ 2022 - SFC Annual Review
Business Risk Management Questionnaire (“BRMQ”) for SFC regulated firms Note: Cognitive GRC provides services mainly to regulated firms...
- 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...
- 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
SFC Consultation on Fund Manager Code of Conduct (FMCC): 10 key points
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