- Oct 10
BRMQ 2024 - Business Risk Questionnaires
Please be reminded that there is an updated BRMQ for year ends starting from 30th November 2023 with a number of new questions. Business...
- Mar 24
AML Updates for regulated firms in Hong Kong
Updates to Anti-Money Laundering and Counterterrorist Financing for SFC regulated firms in Hong Kong in 2023, Summary of SFC circulars, FATF
- Jun 21, 2022
Operational Resilience in 2022 Holding it together
Operational Resilience, Exit Plans, Contingency, Continuity, Cybersecurity, Data Loss, Incident Response Plan
- 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...