常见问题 
登入成功 
Accounting & Finance Finance and Compliance
Certificate for Module (Web3 Compliance and AML Essentials)
證書(單元 : Web3 合規與打擊洗錢要素)
CEF Reimbursable Course
- Course Code
- FN150A
- Application Code
- 2375-FN150A
- QF Level
-
Financial assistance
Close QF Level panel
Continuing Education Fund
This course has been included in the list of reimbursable courses under the Continuing Education Fund.
- Credit
- 9
- Study mode
- Part-time
- Start Date
- 05 Mar 2026 (Thu)
- Duration
- 30 hours
- Language
- English
- Course Fee
- HK$10800
- Enquiries
-
2975 57672861 0278
Programme Overview
Highlights
Programme Details
On completion of the programme, students should be able to:
- critically evaluate Web3, DeFi, and virtual assets, highlighting their risks, compliance regulations, and impacts on financial innovation;
- explain and apply Hong Kong and international regulatory frameworks to assess compliance and design protocols for digital asset businesses;
- identify and analyse AML risks specific to decentralised and blockchain systems; and
- analyse and assess advanced RegTech solutions to strengthen AML operations and adapt compliance strategies for digital assets.
Course Content:
1. Introduction to Web3 and Financial Innovations
- Overview of Web3: Core concepts of decentralisation, blockchain technology, and smart contracts.
- Evolution from traditional finance (TradFi) to Web3 ecosystems: shifts in operational and risk paradigms.
- Introduction to compliance challenges in decentralised systems.
2. Virtual Assets and Cryptocurrency Trends
- Key virtual assets: Bitcoin (store of value), Ethereum (smart contracts), stablecoins (e.g., USDT (Tether), USDC (USD Coin) for payment stability), and emerging tokens.
- Market trends and adoption statistics globally and in Hong Kong (e.g. transaction volumes and cases in payments and DeFi).
- Overview of risks (volatility, anonymity) and opportunities (efficiency, inclusion).
3. Web3 and Decentralised Finance (DeFi) Fundamentals
- DeFi: Key features (permissionless, trustless systems), platforms (e.g., Uniswap, Aave), and applications (lending, borrowing, yield farming).
- Comparison with traditional financial systems (e.g. innovation and disruption in fund storage and payments).
- Emerging DeFi trends in Hong Kong and Asia.
4. International Regulatory Developments for Web3 and Virtual Assets
- Overview of global regulatory frameworks: Financial Action Task Force (FATF) Recommendations e.g., Travel Rule for Virtual Asset Service Providers (VASPs), U.S. (Financial Crimes Enforcement Network (FinCEN), Securities and Exchange Commission (SEC)), EU (Market in Crypto-Asset Regulation (MiCA)), and Singapore (Payment Services Act (PSA)).
- Comparative analysis of approaches to virtual assets and DeFi, focusing on licensing, Anti-Money Laundering (AML) / Counter-Terrorist Financing (CTF), and consumer protection.
- Impact of international developments on Hong Kong’s financial sector (e.g. cross-border compliance challenges and opportunities).
5. Hong Kong’s Regulatory Framework and AML Requirements for Web3
- Review of Hong Kong’s regulatory landscape: Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) (Cap. 615), Hong Kong Monetary Authority (HKMA), and Securities and Futures Commission (SFC) guidelines for virtual asset service providers (VASPs) and SVF holders.
- Specific AML/CTF requirements: Know Your Customer (KYC), transaction monitoring, and reporting obligations under HKMA’s Supervisory Policy Manual – Anti-Money Laundering (SPM AML)-1.
- Recent updates (e.g., VASP licensing regime since 2023) and practical implications for compliance in Hong Kong’s Web3 ecosystem.
6. AML and Compliance Challenges in Web3 and DeFi
- Unique AML risks in Web3: Anonymity, mixing services, cross-border flows, and DeFi-specific vulnerabilities (e.g., flash loans for laundering).
- Compliance challenges: Beneficial owners identification, Travel Rule, and decentralised structures.
- Case studies of AML breaches in crypto and DeFi on risk mitigation.
7. RegTech Tools for Web3 Compliance – Blockchain Tracking
- Introduction to RegTech in Web3: Blockchain analytics tools (e.g., Chainalysis, Elliptic) for tracking transactions and identifying illicit flows.
- Application in AML: On-chain activities, Wallet addresses, and Travel Rule compliance for VASPs.
- Examples of blockchain tracking in Hong Kong’s regulatory context anonymity and fraud risks.
8. RegTech Tools for Web3 Compliance – Artificial intelligence (AI) and Machine Learning (ML) Solutions
- Role of AI and machine learning in enhancing compliance: Real-time transaction monitoring, anomaly detection, and predictive risk assessment.
- Applications in customer due diligence (CDD), KYC automation, and reducing false positives in AML alerts.
- Ethical considerations, data privacy challenges, and integration strategies for AI/ML in Hong Kong’s Web3 compliance landscape.
9. Risk Management Frameworks for Web3 Financial Innovations
- Risk assessment models for virtual assets and DeFi: Identifying operational, AML, and cybersecurity risks.
- Robust risk management frameworks tailored to decentralised systems, and its application in Hong Kong.
- Practical tools and strategies for mitigating risks (e.g. scenario analysis and stress testing for Web3 operations).
10. Future Trends and Professional Development in Web3 Compliance
- Emerging trends: Evolution of DeFi, Non-Fungible Tokens (NFTs), Central Bank Digital Currencies (CBDCs), and their compliance implications in Hong Kong and globally.
- Role of compliance professionals in navigating Web3.
- Strategies for continuous learning, certifications, and networking.
Assessment method: Individual case study and group project presentation
Award
Upon successful completion of the programme, students who have passed the assessments with attendance no less than 70% will be awarded within the HKU system through HKU SPACE a "Certificate for Module (Web3 Compliance and Anti-Money Laundering Essentials)".
| Application Code | 2375-FN150A | Apply Online Now |
| Apply Online Now | ||
Modules & Class Details
Class Details
Mar 2026 Intake Schedule
| Lecture | Date | Time | Location |
| 1 | 05/03/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 2 | 12/03/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 3 | 19/03/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 4 | 26/03/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 5 | 02/04/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 6 | 09/04/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 7 | 16/04/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 8 | 23/04/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 9 | 30/04/2026 (Thur) | 7:00 - 10:00 PM | TBC |
| 10 | 07/05/2026 (Thur) | 7:00 - 10:00 PM | TBC |
Teachers
Teacher Information
Mr. SK Lee
Chief Executive and Board Director of RD Wallet Technologies Limited
CAMS, CAMLP, FHKSI, LLM, Common Law, CUHK, MSc Banking, CityU, MA, HKU, BA(Hons) PSA, CityU, LLB, MMU, UK , LLB, MMU, UK
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).
Fee & Entry Requirements
Fee
HK$150 (Non-refundable)
Course Fee- Course Fee : HK$10800
Entry Requirements
Applicants shall hold a bachelor’s degree awarded by a recognised institution. Those with a business-related degree would have an advantage.
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:
- an overall band of 6.0 or above with no subtests lower than 5.5 in the IELTS; or
- 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
- HKALE Use of English at Grade E or above; or
- HKDSE Examination English Language at Level 3 or above; or
- equivalent qualifications.
Applicants with other qualifications will be considered on individual merit
CEF
- The CEF Institution Code of HKU SPACE is 100
| CEF Courses | ||
|---|---|---|
 Certificate for Module (Web3 Compliance and AML Essentials) 證書（單元：Web3 合規與打擊洗錢要素） |
||
| COURSE CODE 33C165988 | FEES $10,800 | 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 (Web3 Compliance and Anti-Money Laundering Essentials)
|
Apply
Online Application Apply Now
Application Form Download Application Form
Enrolment MethodOnline Enrolment
HKU SPACE provides 24-hour online application and payment service for students to apply to selected award-bearing programmes and to enrol in most open admission courses (courses enrolled on a first come, first served basis) via the Internet. Applicants may settle the payment by using either "PPS by Internet" (not available via mobile phones), VISA or Mastercard online. Online WeChat Pay, Online AliPay and Faster Payment System (FPS) are also available for continuing enrolment in the same programme, if online service is offered.
For first time enrolment
-
Complete the online application form
Applicant may click the icon
on the top right-hand corner of the programme/course webpage to make online application, and then follow the instructions to fill in the online application form.
Some programmes/courses may admit by selection, and may require applicants to provide electronic copy of any required documents (e.g. proof of qualification) as indicated on the programme/course webpage. Only file format in doc, docx, jpg and pdf are supported. -
Make Online Payment
Pay the application or programme/course fees by either using:
"PPS by Internet" - You will need a PPS account and a PPS Internet password. For information on how to open a PPS account and how to set up a PPS Internet password, please visit http://www.ppshk.com.
*Credit Card Online Payment - Course fees can be paid by VISA or Mastercard including the “HKU SPACE Mastercard”.
* HKU SPACE Mastercard cardholders who wish to enjoy 10-month interest free instalment scheme must pay their tuition fees in person at any of our HKU SPACE Enrolment Centres.
To know more about first-time online application/enrolment and payment, please refer to the user guide of Online Application / Enrolment and Payment:
For continuing enrolment in the same programme
Selected programmes offer online continuing enrolment service. Programme staff will inform students if they offer this service and offer further enrolment details.
Online Payment can be made via "PPS by Internet" (not available via mobile phones), VISA or Mastercard, Online WeChat Pay, Online AliPay and Faster Payment System (FPS)
In Person / Mail
For first time enrolment
-
For first come, first served short courses, complete the Application for Enrolment Form SF26 and bring or post the completed form(s), together with the appropriate application/course fee(s) and any required supporting documents to any of the HKU SPACE enrolment centres.
[Download Enrolment Form SF26] -
Award-bearing and professional courses may require other information. Forms are usually available at the enrolment centres or on request from programme staff. Bring or post the completed form(s), together with the appropriate application/course fee(s) and any required supporting documents to any of the HKU SPACE enrolment centres.
For continuing enrolment in the same programme
-
The standard ‘Enrolment/Payment Slip’ is designed for students of award-bearing programmes or remaining programmes in a suite of programmes requiring continuing enrolment and it applies to most programmes.
-
Students should complete the “Enrolment/Payment Slip” which will be made available by relevant programme staff and return the slip to any HKU SPACE enrolment centre or post it to the relevant programme staff with appropriate fee payment.
Please refer to available Payment Methods for fee payment information. If you are in doubt about the procedures, please check the individual course details, or contact our programme staff or enrolment centres.
Please note the followings for programme/course enrollment:
- To make an application online, you will need a computer with connection to the Internet and a web browser with JavaScript enabled. Google Chrome is recommended.
- Applicants should not leave the online application idle for more than 10 minutes. Otherwise, applicants must restart the application process.
- Only Early Bird Discount is supported for Online Applicants (Application). To enjoy other types of discount, please visit one of our enrolment centres.
- During the online application process, asynchronous application and payment submission may occur. Successful payment may not guarantee successful application. In case of unsuccessful submission, our programme staff will contact you shortly.
- Applicants are reminded that they should only apply for the same programme/course once through counter or online application.
- For online enrolment, a payment confirmation page would be displayed after payment has been made successfully. In addition, a confirmation email would also be sent to your email account. You are advised to keep your payment confirmation for future enquiries.
- Fees paid are not refundable except as statutorily provided or under very exceptional circumstances (e.g. course cancellation due to insufficient enrolment).
- If admission is by selection, the official receipt is not a guarantee that your application has been accepted. We will inform you of the result as soon as possible after the closing date for application. Unsuccessful applicants will be given a refund of programme/course fee if already paid.
Disclaimer
The School provides a platform for online services for a selected range of products it offers. While every effort is made to ensure timeliness and accuracy of information contained in this website, such information and materials are provided "as is" without express or implied warranty of any kind. In particular, no warranty or assurance regarding non-infringement, security, accuracy, fitness for a purpose or freedom from computer viruses is given in connection with such information and materials.
The School (and its respective employees and subsidiaries) is not liable for any loss or damage in connection with any online payments made by you by reason of (i) any failure, delay, interruption, suspension or restriction of the transmission of any information or message from any payment gateways of the relevant banks and/or third party merchants for processing credit/debit/smart card or other payment facilitation mechanism; (ii) any negligence, mistake, error in or omission from any information or message transmitted from the said payment gateways; (iii) any breakdown, malfunction or failure of those gateways in effecting online payment service or (iv) anything arisen out of or in connection with the said payment gateways, including but not limited to unauthorised access to or alternation of the transmission of data or any unlawful act not permitted by the law.
1. Cash, EPS, WeChat Pay Or Alipay
Course fees can be paid by cash, EPS, WeChat Pay or Alipay at any HKU SPACE Enrolment Centres.
2. Cheque Or Bank draft
Course fees can also be paid by crossed cheque or bank draft made payable to “HKU SPACE”. Please specify the programme 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 personal information and payment sent by mail.
3. VISA/Mastercard
Applicants may also pay the course fee by VISA or Mastercard, including the “HKU SPACE Mastercard”, at any HKU SPACE enrolment centres. Holders of the HKU SPACE Mastercard can enjoy a 10-month interest-free instalment 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
Online application / enrolment is offered for most open admission courses (enrolled on first come, first served basis) and selected award-bearing programmes. Application fees and course fees of these programmes/courses can be settled by using "PPS by Internet" (not available via mobile phones), VISA or Mastercard. In addition to the aforesaid online payment channels, new and continuing students of award-bearing programmes with available online service, they may also pay their course fees by Online WeChat Pay, Online Alipay or Faster Payment System (FPS). Please refer to Enrolment Methods - Online Enrolment for details.
Notes
-
If the programme/course is starting within five working days, application by post is not recommended to avoid any delays. Applicants are advised to enrol in person at HKU SPACE Enrolment Centres and avoid making cheque payment under this circumstance.
-
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, WeChat Pay, Alipay, cheque, FPS or PPS by Internet will be reimbursed by a cheque, and fees paid by credit card will be reimbursed to the credit card account used for payment.
- 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.
- Fees and places on courses cannot be transferrable 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 each approved transfer.
- HKU SPACE will not be responsible for any loss of payment, receipt, or personal information sent by mail.
- For payment certification, please submit a completed form, a sufficiently stamped and self-addressed envelope, and a crossed cheque for HK$30 per copy made payable to “HKU SPACE” to any of our enrolment centres.
- More Programmes of
- Finance and Compliance
