A selection of governance risk and compliance areas of interest to firms operating globally but located in Asia

Overview of key risks, outline regulatory frameworks, practical guidance for Firms on Anti-Bribery Corruption, Training, Best Practice

A timely reminder to look at the state of your Continuous Professional Training records for this year.

Summary of VASP basics, update to the AMLO, and various changes relating to digital assets and licensing in Hong Kong for regulated activity

Climate 101 Key Training for Managers and Analysts. Summary of course content and why firms need to training thier analysts and managers

Please be reminded that there is an updated BRMQ for year ends starting from 30th November 2023 with a number of new questions. Business...

Launch of a new course that covers climate essentials for managers and analysts – Climate 101 for Managers and Analysts

Updates to Anti-Money Laundering and Counterterrorist Financing for SFC regulated firms in Hong Kong in 2023, Summary of SFC circulars, FATF

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

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

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

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

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

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

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

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...

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

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