Programme Objective

The objectives of the Programme are to equip students with skills and knowledge to analyse and interpret relevant listing rules, SFC regulations and also recent development of ESG,AML,cryptocurrency and impact of AI on compliance.  Students will be able to identity non-compliance issues and grey areas with reference to the rules and practices and prepare them for a career in compliance and related sectors.  

The programme provides  knowledge relating to regulatory environment as well as governance from strategic and operational perspectives. Graduates well trained in the governance discipline would be able to manage the risks better and accomplish their responsibilities with higher ethical standard and greater confidence.

Programme Structure

The programme consists of six modules, duration of each ranges from 33 to 36 contact hours. 

• Internal Controls - Concepts and Issues
• Corporate Governance (core)
• Listing Rules and Regulations
• Securities and Futures Regulations and Practices (core)
• Anti-money Laundering - practices and issues 
• Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions
• Impact of Artificial Intelligence and Big Data on Compliance and Risk Management
• Environmental, Social and Governance Reporting

All the modules such as internal controls, listing and SFC regulations offered in tandem with each other will deliver a well-structured and comprehensive coverage of corporate compliance. The main focus of this programme is its emphasis upon the importance of compliance issues in the increasingly stringent regulatory environment.

Award:  On successful completion of six modules (two core modules plus four elective modules); students will be awarded Postgraduate Diploma in Corporate Compliance of 60 credits. (**Students are required to pass both continuous assessment (50%)  and the final examination (50%) in order to pass a module.**)

Tutor's Profile

Listing Rules and Regulations - Dr Gary Leung (CA; ICSA) 

Dr Leung is a chartered accountant and chartered secretary with over 20 years of working experience in accounting, auditing and financial management, particularly in IPO area. During his leisure time, Gary acts as a visiting associate professor and lecturer in universities in Hong Kong in lecturing financial reporting and financial management courses since  2000.

-------------------------------------------------------------------------------------------------------------------------------

Corporate Governance - Mr. David Roper, BSc, MBA, LLM (Chinese Business Law), FCIM
David has over 20 years senior management positions in large corporations i.e. Jardine Matheson, New World Telecom and Octopus Rewards Limited and he is keen to share his successful experience in ethics and governance perspectives with students.

-------------------------------------------------------------------------------------------------------------------------------

Internal Controls - Concepts & Issues / Corporate Governance - Mr Patrick Rozario (CPA (Aust); CISA; IIA)

Mr Patrick A Rozario is a Managing Director of Moore Stephens and heads up the firm's Advisory Services to help our clients manage their risks and enhance their business operations. 

Patrick Rozario has over 25 year experiences working in the area of governance and risk advisory. Patrick managed various internal audits, corporate governance, Sarbanes-Oxley, internal control and information technology risk assurance advisory engagements for clients across different industries including banking, insurance, manufacturing, telecommunication and government in Hong Kong and China.  Patrick is also the Chairman of the organising committee for the HKICPA Best Corporate Governance Disclosure Awards 2013, 2014 and 2015. 

-------------------------------------------------------------------------------------------------------------------------------

Securities and Futures Regulations and Practices - Mr. Albert Poon

Mr. Albert Poon is a qualified accountant with over 25 years solid experience in accounting and finance areas. He held senior positions in HK listed companies and the SFC licenced corporations. Also, he was a workshop facilitator and exam marker for HKICPA.

 Albert has been teaching professional accounting examination courses and postgraduate diploma courses in various tertiary institutions for more than 20 years.

-------------------------------------------------------------------------------------------------------------------------------

Anti-Money Laundering – Practices and Issues / Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions - Mr. Albert Tang (Group Chief Risk & Compliance Officer and Manager In Charge  of various function of SFC)

Mr. Albert Tang has over 23 years of experience in Anti-Money Laundering/Counter Terrorist Finance control that covered the Law Enforcement, public sector, financial industry and fintech business.  He now oversees the Risk, Compliance and Internal control function of a Financial Fintech group and is responsible for the overall Group Corporate governance management, risk & compliance of the SFC supervision of asset investment, fintech business development with AI.  Previously, he played key person in Compliance role in Hong Kong based Insurance Institution and also worked in a Hong Kong Listed technology Companies, PCCW/HKT  supervised a team of compliance professionals in charge of all compliance-related activities across all financial service including Stored Value Facilities licenses, Virtual Bank, Insurance service, Money lending and FinTech business development and act as key contact with Hong Kong Monetary Authority.  

He has previously worked in various financial institutions, including banking, insurance and card payment operations across Asia Pacific region. Before moving to the financial industry, he had served the Independence Commission Against Corruption of Hong Kong over 7 years dedicated to fighting corruption through investigation. 

-------------------------------------------------------------------------------------------------------------------------------

Impact of Artificial Intelligence and Big Data on Compliance and Risk Management - Mr. F. W. Wan, BSc, MSc, CISA

Mr. Wan leads advisory practice across AI/RPA, Virtual Bank, Robo-Advisory and Digital Payment in an international consulting firm. Prior to joining the consulting sector, Mr. Wan was a regulator with primary focus on policy setting and issuing codes in relation to Regtech, Algo/Electronic Trading, Dark Pool and Robo-Advisory areas. Previously, he also played a lead role in driving Asia Pacific technology audit in a Top-tier US investment bank. He holds Master of Science degree.

-------------------------------------------------------------------------------------------------------------------------------

-------------------------------------------------------------------------------------------------------------------------------

Environmental, Social and Governance Reporting​​ - Ms Sandy Chan, BSc, PhD

Ms. Sandy Chan is currently the Environmental Consultant in Ramboll Hong Kong Limited. She is responsible for engaging ESG/Sustainability disclosure projects, including benchmarking and gap analysis, stakeholder engagement and interviews, data analysis, and report drafting. She is also responsible for providing sustainability advisory and ESG-related risk management services, creating policies, guidelines related to sustainability programs. She assists in preparing pitch assignments and engaging potential clients

-------------------------------------------------------------------------------------------------------------------------------

Exemptions:

FAQ

1.   Could I get exemption of the following if I am an associate member of HKICS?

a.  Corporate Governance -  Yes

2. How can the exemption fees be waived?

a. Exemption fees are waived for Postgraduate Diploma in Enterprise Risk Management and Postgraduate Diploma in Bank and Insurance.

• 33 to 36 hours per module

Modules offered in Feb 2025 intake:

Internal Controls – Concepts and Issues

Date: 03 February 2025 - 28 April 2025 (Monday)  

Time: 19:00-22:00

Venue: To be Confirmed

Listing Rules and Regulations Practices

Date: 05 February 2025 - 30 April 2025 (Wednesday)

Time: 19:00-22:00

Venue: To be Confirmed

Anti-money Laundering – Practices and Issues

Date: 06 February 2025 - 08 May 2025 (Thursday) 

Time: 19:00-22:00

Venue: To be Confirmed

*The date of examination is included in the above class period.

Modules will offered in FEBRUARY,  MAY AND OCTOBER intake each year(tentatively):

• Either weekday evenings, 7:00 - 10:00 pm or, Saturday afternoons, 2:00 - 5:00 pm, or Saturday evenings, 7:00 - 10:00 pm, or Sunday afternoon, 2:00 - 5:00 pm.

TENTATIVE SCHEDULE

2025 February Intake (Tentative)

Notes:  The venue, time and date arrangements are subject to final confirmation, HKU SPACE reserves the right to make changes at any time without notice. 

The date of examination is included in the above class period.

HK$200 (non-refundable)

• Course Fee : HK$7800 per module

Applicants shall hold a bachelor’s degree awarded by a recognized institution.

If the degree or equivalent qualification is from an institution where the language of teaching and assessment is not English, applicants shall provide evidence of English proficiency, such as:

1. an overall band of 6.0 or above with no subtests lower than 5.5 in the IELTS; or
2. a score of 550 or above in the paper-based TOEFL, or a score of 213 or above in the computer-based TOEFL, or a score of 80 or above in the internet-based TOEFL; or
3. HKALE Use of English at Grade E or above; or
4. HKDSE Examination English Language at Level 3 or above; or
5. equivalent qualifications.

Applicants with other qualifications will be considered on individual merit.

• The CEF Institution Code of HKU SPACE is 100

	Continuing Education Fund Reimbursable Course (selected modules only) Some modules of this course have been included in the list of reimbursable courses under the Continuing Education Fund.
	Postgraduate Diploma in Corporate Compliance This course is recognised under the Qualifications Framework (QF Level [6])

Online Application Apply Now

Application FormDownload Application Form
Application Form

Enrolment Method

Applicants are required to submit the application form with supporting documents at HKU SPACE Enrolment Centres in person.

Please present the academic documents and HKID (both original and copies for verification) for the application process.
 

Payment Method

1. CASH OR EPS

Course fees can be paid by cash or EPS at any HKU SPACE enrolment counters.

2. CHEQUE OR BANK DRAFT

Course fees can also be paid by crossed cheque or bank draft made payable to “HKU SPACE”. Please specify theprogramme title(s) for application and applicant’s name. You may either:

• bring the completed form(s), together with the appropriate course or application fees in the form of a cheque, and any required supporting documents to any of the HKU SPACE enrolment centres;
• or mail the above documents to any of the HKU SPACE enrolment centres, specifying “Course Application” on the envelope. HKU SPACE will not be responsible for any loss of payment sent by mail.

3. VISA/MASTERCARD

Applicants may also pay the course fee by VISA or Mastercard, including the “HKU SPACE Mastercard”, at anyHKU SPACE enrolment centres. Holders of the HKU SPACE Mastercard can enjoy a 10-month interest-freeinstalment period for courses with a tuition fee worth a minimum of HK$2,000; however, the course applicant must also be the cardholder himself/herself. For enquiries, please contact our staff at any enrolment centres.

4. ONLINE PAYMENT

The course fees of all open admission courses (course enrolled on first come, first served basis) and selected award-bearing programmes can be settled by using PPS via the Internet. Applicants may also pay the relevant course fees by VISA or Mastercard online. Please refer to the Online Services page on the School website.

Notes

1. For general and short courses, applicants may be required to pay the course fee in cash or by EPS, Visa or Mastercard if the course is to start shortly.

2. Fees paid are not refundable except under very exceptional circumstances (e.g. course cancellation due to insufficient enrolment), subject to the School’s discretion. In exceptional cases where a refund is approved, fees paid by cash, EPS, cheque or PPS (for online payment only) will normally be reimbursed by a cheque, and fees paid by credit card will normally be reimbursed to the payment cardholder’s credit card account.

3. In addition to the published fees, there may be additional costs associated with individual programmes. Please refer to the relevant course brochures or direct any enquiries to the relevant programme team for details.
4. Fees and places on courses cannot be transferred from one applicant to another. Once accepted onto a course, the student may not change to another course without approval from HKU SPACE. A processing fee of HK$120 will be levied on approved transfers.
5. Receipts will be issued for fees paid but HKU SPACE will not be responsible for any loss of receipt sent by mail.
6. For additional copies of receipts, please send a stamped, self-addressed envelope with a completed form and a crossed cheque for HK$30 per copy made payable to ‘HKU SPACE’. Such copies will only normally be issued at the end of a course.