The programme aims to equip students with the latest knowledge in innovation and applications of regulatory technology (RegTech). Students will learn how RegTech transforms the financial industry and presents business challenges to the industry. The programme will cover contemporary financial issues, regulatory framework and the impacts of RegTech.
 

 Course Content:

1. Introduction to RegTech

• Emergence of RegTech in financial world
• Technology innovations of RegTech
• How RegTech improves the efficiency and cost saving for business processes
   

2. Regulatory and Legal Issues around RegTech

• Global trends and government initiatives in RegTech
• Introduction to Hong Kong Monetary Authority’s Fintech Supervisory Sandbox
• Regulation vs privacy
• New compliances and new monitoring processes
• Compliance and regulatory risk
• Risk exposure and anticipating future threats
• The relationship between compliances and design of RegTech system
   

3. Regulatory Reporting and Stress Testing

• Benefits of leveraging Regtech solutions for regulatory reporting and stress testing
• Key considerations when adopting Regtech solution for regulatory reporting and stress testing
• Key implementation components for regulatory reporting and stress testing
   

4. Cloud-based Regtech Solutions

• Three service model types (Infrastructure as a service, platform as a service, and software as a service)
• Cloud strategy and common framework
• Key barriers or risks of adopting Cloud-based Regtech solutions for authorized institutions
   

5. AI and Machine Learnings in RegTech

• Big data processing techniques
• The use of text analysis and Optical Character Recognition (OCR)
• The operation on sentiment analysis
• Interpretation of data through various computational tools.
   

6. RegTech in Cyber Risk Management

• Potential cyberattacks and suspicious activities by using RegTech
• Multitude of behavioural information
• Behavioural biometric techniques
• Activity logs
• Robotic Process Automation (RPA)
   

7. RegTech in Credit Risk Management and Commercial Data Interchange (CDI)

• Manual verified processes, human errors and the inefficiency by using RegTech
• The use of data-driven estimation
• Supervised Machine Learning (SML)-based methods to streamline corporate loan underwriting
• Optical Character Recognition (OCR)
• Use of Big Data/Alternative Data in credit risk management
• CDI – consent-based data sharing infrastructure

8. RegTech in Financial Crime Compliance

• Prevention of crimes and fraud by using RegTech
• Holograms and facial recognition
• Transaction monitoring
• Application Programming Interfaces (API)
• Fraud detection
• Anti-Money Laundering (AML) / Counter-Financing of Terrorism (CFT) surveillance technologies

9. Supervisory Technology (Suptech) Adoption

• Proof-of-concepts (PoCs)
• PoC on the use of Robotic Process Automation (RPA) and Speech-To-Text (STT)
• Network analysis and sentiment analysis

Assessment method:  Two Individual Written Assignments

 

Upon successful completion of the programme, students who have passed the two individual written assignments with attendance no less than 70% will be awarded within the HKU system through HKU SPACE a Certificate for Module (RegTech).

 

On completion of the programme, students should be able to: 

1. analyze the practice of technological innovations related to the RegTech and their significance in Hong Kong and worldwide;
2. discuss the regulatory framework and legal issues around RegTech in financial sector; and
3. examine the types of RegTech applications and their impacts in financial sector.

 

Speaker

Mr. SK Lee

SK Lee is the Chief Executive and Board Director of RD Wallet Technologies Limited.

Mr Lee’s previous experience includes his roles as the Head of Financial Crime Compliance and Senior Executive in Business Development in Hang Seng Bank during 2014 to 2020, and various compliance positions at Standard Chartered (Hong Kong) during 2006 to 2014 with the last position being Head of Compliance in Retail Clients.  During 1996 to 2006, he worked in the Hong Kong Monetary Authority in Banking Supervision and Banking Policy.  

Mr Lee is a Certified Anti-Money Laundering Specialist (CAMS) and Certified AML Professional (CAMLP), and Fellow Member in Hong Kong Securities and Investment Institute (FHKSI). His academic credentials include master’s degrees in law (LLM, Common Law, CUHK), in banking (MSc Banking, CityU), and in Asian Studies (MA, HKU), and bachelor’s degrees in public and social administration (BA(Hons) PSA, CityU), and Law (LLB, MMU, UK).

 

Ms. Millie Pau

Millie is the Alternate Chief Executive and Chief Compliance Officer for WeLab Bank. WeLab Bank is one of the first virtual bank established in Hong Kong. It is powered by WeLab Group – a leading fintech company in Asia. By creating seamless digital experience, WeLab provides financial services to over 50 million users across Hong Kong, Mainland China and Indonesia.

Leveraging on her 20 years’ experience in the banking and financial services industry, Millie has acquired hand-on knowledge in implementing laws and regulations and embedding corresponding controls in large organisations. Through her active participation in industry forums of banks, Millie has also gained considerable insights in respect of fraud monitoring and Regtech development.

Prior to joining WeLab, Millie was the Executive Director, Compliance, Greater China in Standard Chartered (Hong Kong) Limited. She had taken various senior executive roles in both Standard Chartered (Hong Kong) Limited and HSBC.  Millie holds a master’s degree in laws and was a qualified solicitor (2002-2012) and has been an employed-barrister (since 2013) in Hong Kong.

 

Ms.  Karen Kwok


Karen joined livi bank in 2020 as Head of Financial Crime Compliance, responsible for Anti-Money Laundering and Fraud Risk Management.

She has over 15 years of experience in the financial services industry. Prior to joining livi, Karen was Head of AML Compliance at WeLab Bank. Throughout her career in the financial crime compliance area, she has been dedicated to the use of Regtech and data analytics in the prevention and detection of financial crimes.

Karen is a Certified Anti-Money Laundering Specialist (CAMS) and holds a bachelor’s degree from the University of British Columbia (BSc) and a master’s degree from the University of Hull (EMBA).

 

Mr. Victor Lee


Victor Lee is currently the Head of Financial Crime and Money Laundering Reporting Officer|Compliance in Hang Seng Bank Limited, a bank widely recognized as the leading domestic bank in Hong Kong serving more than 3.5 million customers. Victor oversees all the financial crime risk related matters in the company, with his responsible areas include but not limited to financial crime investigations, anti-money laundering policy and framework, transaction monitoring, external and internal fraud detection and prevention, sanctions, anti-bribery and corruption, as well as surveillance.    His oversight also covers Hang Seng China and other regulated financial subsidiaries in Hong Kong, Macau and Singapore.     

Before joining the bank industry, Victor has gained extensive experience in local law enforcement agency and specialized in cross-border financial crime investigations.   

Victor is a Certified Anti-Money Laundering Specialist (CAMS) and Certified AML Professional (CAMLP).  He also holds a  Master degree of Public Administration in HKU.

 

Mr. Henry Yu


Henry Yu is the Chief Compliance Officer of Airstar Bank Limited. Henry has over 20 years’ of experience with a focus on non-financial risk in both private and public sectors, including Regtech and digital finance sector. He has been working on various regional and local roles including MLRO, MIC of SFC and S72b Manager of HKMA for different financial institutions. Henry is also lecturing in the Department of Laws of The University of HK for its LLM classes. 

 

Ms. Becky Leong

Becky Leong is a seasoned professional in the financial industry, with a wealth of experience in compliance and regulatory affairs. She is currently serving as the Head of Compliance at Mox Bank Limited, a leading virtual bank based in Hong Kong. With over 20 years of solid experience in financial institutions, Becky has established herself as a trusted expert in compliance and regulatory matters. She is an experienced compliance officer in setting up compliance function in Fintech environment.

Before taking up the current role, Becky spent 15 years in Standard Charted Bank (Hong Kong) Limited, performing various key roles and her last position was the Director of Conduct, Financial Crime and Compliance (CFCC) for Consumer, Private Banking and Business Banking (CPBB). She led a team of compliance professionals responsible for business compliance advisory, data privacy and regulatory engagement.

Becky holds a Bachler of Laws degree (L.L.B.) from the University of London and a Bachelor of Business Administration with a major in Economics from the Hong Kong University of Science and Technology. She is also the member of International Compliance Association.

 

Ms. Francis Choi

Francis Choi is the Head of Financial Crime Compliance of Bank of China Group Insurance with 23 years of experience working in Finance Crime Compliance, Anti-money laundering and Fraud investigation fields of insurers and banks across Asia Pacific. Francis specializes in Cross-border and complex fraud investigation, AML Investigation, FCC process optimization, and big data analysis application.

Reference Materials:

AML Regtech: Network Analytics on May 23 from HKMA

 

Application Code	2280-FN088A	Apply Online Now
Apply Online Now

April 2025 Intake Schedule

Lecture	Date	Time	Location
1	03/04/2025 (Thur)	1900-2200	TBC
2	10/04/2025 (Thur)	1900-2200	TBC
3	17/04/2025 (Thur)	1900-2200	TBC
4	24/04/2025 (Thur)	1900-2200	TBC
5	15/05/2025 (Thur)	1900-2200	TBC
6	22/05/2025 (Thur)	1900-2200	TBC
7	29/05/2025 (Thur)	1900-2200	TBC
8	05/06/2025 (Thur)	1900-2200	TBC
9	12/06/2025 (Thur)	1900-2200	TBC
10	19/06/2025 (Thur)	1900-2200	TBC

Application Fee

HK$150 HK$150 (Non-refundable)

Course Fee

• Course Fee : HK$9500

Applicants shall:

(i) hold a relevant bachelor’s degree awarded by a recognized university or equivalent; or
(ii) hold a relevant Associate Degree / Higher Diploma or equivalent, and have at least 2 years of related work experience.

Applicants with other qualifications will be considered on individual merit.

• The CEF Institution Code of HKU SPACE is 100

CEF Courses
Certificate for Module (RegTech) 證書 (單元：合規科技)
COURSE CODE 33C144042	FEES $9,500	ENQUIRY 2975-5767

	Continuing Education Fund This course has been included in the list of reimbursable courses under the Continuing Education Fund.
	Certificate for Module (RegTech) This course is recognised under the Qualifications Framework (QF Level [5])

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