Updates for SFC regulated firms and firms with SEC or US regulatory exposure. Quarter 3 Update, Planning for Quarter 4 and 2023

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)....

Optimising Growth - Targeting Success Cognitive GRC Limited was delighted to share sponsorship of panel sessions during the Annual AIMA...

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

Note: Cognitive GRC provides services mainly to regulated firms in Hong Kong that provide services to institutional and professional...

All the very best wishes to clients, collaborators, industry partners, competitors, and prospects to see you through the end of 2021 and...

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...

It seems February for CFTC (Exemption Registration), March for SEC (Annual ADV) and April for SFC. Following the new format Business Risk...

Wish all our clients, service partners, industry colleagues and thier families a prosperous and healthy year of the Ox!

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

The Hong Kong Securities & Futures Commission (SFC) has recently issued a series of circulars relating to the volatility in local and...

The deadline of November 18, 2018, has now passed for the Securities and Futures Commission’s (SFC’s) Fund Manager Code of Conduct...

The implementation deadline for the Securities & Futures Commission (SFC) Fund Manager Code of Conduct (FMCC) is now less than one month...

Investment management firms with operations in Hong Kong must turn its attention to the new Securities & Futures Commission (SFC) Fund...