Finance and Compliance Programmes and Short Courses - HKU SPACE. Explore our list or programmes for part-time and full-time.
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Accounting & FinanceFinance and Compliance

Finance and Compliance

Compliance departments of banks and brokerage firms have been expanding in both size and importance over the past few years, and they are certain to keep growing for the foreseeable future. Financial institutions are putting more resources into their compliance teams to minimize the possibility of receiving fines from regulators. Many high paying jobs have been created in finance and compliance. Our programmes in anti-money laundering, financial compliance and regulation will provide with you the basic information of a job in the compliance industry and advice on how to build a successful career.

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Hong Kong Monetary Authority (HKMA), works together with the banking industry to introduce an industry-wide competency framework – Enhanced Competency Framework (ECF) on Anti-money Laundering and Counter-financing of Terrorism (AML/CFT) to support talent development in AML/CFT.  The syllabus will be provided by the Hong Kong Institute of Bankers (HKIB) and this programme is offered for students to prepare for the ECF on AML/CFT Professional Level Examination.
Start 05 JAN 2019 (SAT)
Duration 18 hours
Fee HK$4,500
開課日期 待定
修業期 9個月
課程費用 HK$7,600
  1. HKU SPACE students can top-up our Postgraduate Diploma in Finance and Law graduates to MSc Global Investment Management from Ulster University, UK.
  2. The programme focuses on practical approaches in areas of derivatives, fund management and risk management.
  3. The programme is recognised by the Chartered Institute of Securities and Investment (CISI) and graduates of the programme will be entitled to associate membership of the CISI and exemptions from the following CISI exams (CISI level in brackets): Securities and Investments (IOC); Derivatives (Certificate); and Fund Management (Diploma).
  4. Ulster University is ranked in the top 25% of all UK universities for research.
Start To be advised
Duration 1 year to 2 years
Fee HK$11,000

The Postgraduate Diploma in Finance and Law is designed to give you a sophisticated understanding of the legal and regulatory framework for the local and international financial sector.


The program is ideal for both law and non-law graduates and the flexible structure makes it ideal for working professionals and other practitioners who are looking to immerse themselves in the study of law and financial services.


As a student, you’ll study modules from a program that includes corporate governance, finance transactions, investment and venture capital, financial markets and regulatory framework.

Start 04 JAN 2019 (FRI)
Duration 12 months to 48 months
Fee HK$6,600 per Finance module
HK$9,700 per Law module
Pioneer and Comprehensive programme in Bank and Insurance Compliance.   Great value lies in solving problem around the Grey Area! This is a unique programme that aims to provide students with a coherent, relevant and practical programme of knowledge in bank and insurance compliance and prepare them for a career in these and related sectors.   Real-life cases  and exampleswill be discussed, drawing reference from standards and rules highlighting the non-compliance issues involved and grey areas.   
Start 12 FEB 2019 (TUE)
Duration 1 year to 3 years
RELEVANT & PRACTICAL PROGRAMME IN FINANCIAL, SFC AND LISTING COMPLIANCE!!   This is a unique programme that focuses on practical applications and all-round training in corporate compliance; it is positioned to be the pioneer in the market.   Contemporary cases will be discussed; drawing reference from standards and rules highlighting the issues and grey areas. Real-life examples and updated cases will be discussed during the class.
Start 12 FEB 2019 (TUE)
Duration 1 year to 3 years
Edinburgh Napier University, UK
Programme Features
  • Top in the UK for Value Added to students by Guardian University Guide 2017
  • Take Current Insights from Thematic Seminars in Finance
  • Face-to-face Lecture 42 hours per Module
  • Honours Top-up Degree in 2 years Part-time
  • Exemption of Associate Financial Planner Certification Education Programme by Institute of Financial Planners of HK
  • Cover part of Chartered Financial Analyst (CFA) qualification’s required body of knowledge
  • More than 2,000 Graduates in HK  
Start 28 JAN 2019 (MON)
Duration 2 years
Fee HK$7,000
University of London (Academic Direction: London School of Economics and Political Science)
The feature of this degree is to provide students with useful and relevant background in account and finance. This degree not only provides students with accounting techniques and focuses on computational skills with the aim of immediate application, but also enables students to evaluate the usefulness of their studies in different contexts and allows for them to further proceed into professional accounting and financial studies. The program is suitable for people who are interested in accounting and finance, accounting professions, investment banking, investment analysis and management, and etc.
Start To be advised
Duration 3 years to 6 years
University of London (Academic Direction: London School of Economics and Political Science)
This degree provides students' with a significant insight of the financial role in industrialized economies by; exploring the financial markets, interaction between financial intermediations and all other financial institutes. Not only students will learn about the pricing of financial assets and why and how corporations issue various types of assets, but they will also look at the operation of domestic and international intermediations.
Start To be advised
Duration 3 years to 6 years
The demand for financial compliance professionals grows with new compliance and regulation standards in Hong Kong. This programme aims to equip students with latest knowledge in financial compliance in banking and asset management. Executive Certificate in Finance and Compliance is regularly updated to respond to current changing regulatory landscape.
Start 11 JAN 2019 (FRI)
Duration 4 months