Cognitive GRC
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1
Firm Identity
Company Name
Firm Type
Select Firm Type
Investment Manager
Broker
Introducer
Corporate Finance
Wealth Manager
Number of Employees
Select Range
1-10
11-50
51-200
201-500
500+
2
Client Types
Select all client types the firm services
Institutional Only
Professional Investor Only
Retail
3
SFC Regulated Activities
Select all SFC licence types held by the firm
Type 1 — Dealing in Securities
Type 2 — Dealing in Futures Contracts
Type 3 — Leveraged Foreign Exchange Trading
Type 4 — Advising on Securities
Type 5 — Advising on Futures Contracts
Type 6 — Advising on Corporate Finance
Type 7 — Providing Automated Trading Services
Type 8 — Securities Margin Financing
Type 9 — Asset Management
Type 10 — Providing Credit Rating Services
Type 11 — OTC Derivative Products
Type 12 — Client Clearing Services (OTC)
Type 13 — Depositary Services for CISs
4
SEC Registration Status
SEC Registration Type
Select SEC Status
Foreign Private Adviser
Exempt Reporting Adviser (ERA)
Registered Investment Adviser (RIA)
No US Status
5
CFTC / NFA Status
CPO Status
Select CPO Status
Registered CPO
Exempt CPO (Registered)
None / Not Applicable
CTA Status
Select CTA Status
Registered CTA
Exempt Registered CTA
None / Not Applicable
6
Client Assets
Does the firm have access to or responsibility for client assets?
Yes
No
7
Compliance Frameworks
Select applicable frameworks
Regulatory Register Verification
Verify firm licensing and registration status using official registers
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SFC Public Register
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SEC IAPD
Investment Adviser Public Disclosure
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NFA BASIC
Background Affiliation Status (CPO/CTA)
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