Accounting & Finance Finance and Compliance
Today and Upcoming Events
Lunch talk on " Business and Professional Ethics " cum Postgraduate Diploma Series information seminar
HKU SPACE offers a range of Postrgaduate Diploma programmes ranging from...
Postgraduate Diploma in Corporate Compliance / Bank and Insurance Compliance / Enterprise Risk Management / Cyber Risk Management/Postgraduate Certificate in Business Forensics/ MSc in Risk Management (21 December 2023)
HKU SPACE offers a range of Postrgaduate Diploma programmes ranging...
A lot of compliance jobs in bank, general and life insurance sectors (from Bay Search Group, Ambitions, Hillman Ross, BDO, Morgan McKinley). This programme covers various aspects of bank and insurance compliance such as Insurtech, AML, impact of AI and Big Data which are hotly demanded by the industries.
Graduates of Postgraduate Diploma in Bank and Insurance Compliance could claim 3 exemptions from the Postgraduate Diploma in Corporate Compliance!!
Relevant and Practical!
In the job interview, I was able to apply the things I learnt in the Postgraduate Diploma, proving my capability as a compliance officer, which LED TO A JOB OFFER, successfully changed my career!
The lecturer understands the industry well and guide us on how to apply in workplace.
The lecturer has quoted many real life examples regarding the areas concerned.
All modules of the programme are CEF reimbursable.
Extended non-means-tested loans Scheme (ENLS) from Government.
(ENLS Course Code: B00600351)
COMMENTS FROM OUR CURRENT STUDENTS!
風險和合規部門的需求及前景 – 前線員工都要識合規!
【風險和合規部門的需求及前景 – 前線員工都要識合規!】
羅兵咸永道的第六次《風險評估年度報告》顯示指出，由於合規需求日增，企業除了有專屬的風險和合規部門外，更多公司需要前線業務部門（如銷售團隊）在風險管理上也擔當一定的角色。 56%受訪的亞太區企業計劃在未來三年將風險管理擴大到第一道防線，全球回應率為 46%。
無論金融機構規模大小，招聘合規人手幾乎都是指定動作。 基本上受證監會或金管局規管的機構就必須遵守合規要求，故此不論大小金融機構近年皆對合規員工對才若渴。隨著經驗的累積，三至五年經驗的 seniors 月入三、四萬元亦非難事。能夠在合規界別屹立十年而不倒，有機會年薪過百萬。
Source: JobsDB ( https://bit.ly/3jF9v4m )
>#enterprise >#risk >#management >#accounting >#compliance >#insurance>#corporate
The programme aims to provide students with a coherent, relevant and practical programme to equip them for a career in compliance and related sectors. It has a systematic body of theory and knowledge on compliance but at the same time it is designed to be very practical and problem based oriented. The main focus of this programme is its emphasis upon the importance of compliance issues in the increasingly stringent regulatory environment.
This programme offers six modules in three intakes; Feb, May and Oct each year, duration of each range from 33 to 36 contact hours.
- Internal Controls - Concepts and Issues
- Compliance for Fintech and Insurtech
- Compliance in Banking Sector (core)
- Compliance in Insurance Sector (core)
- Anti-money Laundering-practices and issues OR Anti-money Laundering-Cryptocurrency, Data Analytics and Financial Crime Sanctions
- Impact of Artificial Intelligence and Big Data on Compliance and Risk Management
The programme provides students with knowledge relating to regulatory environment as well as governance from strategic and operational perspectives. Students would be updated with the most contemporary knowledge and development in bank and insurance compliance under the new technology landscape as well. Graduates would be able to better manage risk and comply with rules with higher standard and greater confidence.
Upon successful completion of two core modules and any other four elective modules, students will be awarded with Postgraduate Diploma in Bank and Insurance Compliance of 60 credits. (**Students are required to pass both continuous assessment (50%) and the final examination (50%) in order to pass a module.**)
Internal Controls - Concepts and Issues - 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 various internal audits, corporate governance, Sarbanes-Oxley, internal control and information technology risk assurance advisory engagements . Patrick is also the Chairman of the organising committee for the HKICPA Best Corporate Governance Disclosure Awards 2013, 2014 and 2015.
Compliance in Insurance Sector / Compliance for Fintech and Insurtech - Mr. Gary Yiu (DBA (SBS), MSc(CUHK), MSc(HKPU), CPA, CIA, CISA, CCEBS)
Mr. Yiu now heads up the risk management function of a clearing house in Hong Kong. He was Associate Director of one of the Big-4 firms and Assistant General Manager of an internal audit function of a note-issuing bank in Hong Kong. He has extensive risk management and audit experience and served as a lecturer in various academic programmes and professional courses in the past 9 years.
Anti-Money Laundering – Practices and Issues - Mr. Albert Tang (Chief Compliance Officer, Money Laundering Reporting Officer)
Mr. Albert Tang has over 19 years of experience in Anti-Money Laundering – Practices and Issues that covered the Law Enforcement, public sector and financial industry. He now oversees the Compliance function of an Insurance institution and is responsible for the overall regulatory compliance and internal controls of the Company. Previously, he played a senior position in Hong Kong Listed Companies and supervised a team of compliance professionals in charge of all compliance-related activities across all financial service including Stored Value Facilities licenses business, Money Lending, Insurance service, Virtual Bank and FinTech business development and act as key contact with Hong Kong Monetary Authority. He also handled group global Anti-Money Laundering – Practices and Issues / Counter-Terrorist Financing program. He was 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.
Loretta has over 17 years experience in performing financial audit and internal audit in both professional firms and listed companies in Hong Kong respectively. She has worked as senior positions of internal audit department for listed companies in Hong Kong. In addition, she has extensive experience in providing service for pre-IPO internal control review application, internal control review and other internal audit engagements as she had worked in consultancy firm and professional firm for over 6 years.
- Maximum exemption is up to 50% of the number of modules studied. The exemption application must be made in writing with supporting documents at the same time when submitting the application form for the programme. Application fee of each module exemption is HK$500 (Non-refundable). Those with exempted modules are required to pay a fee of HK$1,000.
- Could I get exemption of the following if I am an associate member of HKICS?
Corporate Governance - Yes
- How can emeption fees be waived?
Exemption fees are waived for Postgraduate Diploma in Corporate Compliance and Postgraduate Diploma in Enterprise Risk Management
|Application Code||2170-AC055A||Apply Online Now|
|Apply Online Now|
- 33 to 36 hours per module
- 11 to 13 meeting(s)
Modules & Class Details
Modules offered in OCTOBER 2023 intake:
Anti-money Laundering – Practices and Issues
Date: 01 February 2024 - 09 May 2024 (Thursday)
Venue: United Learning Centre
Compliance in Insurance Sector
Date: 03 February 2024 - 18 May 2024 (Saturday)
Venue: Island East Campus
Internal Controls – Concepts and Issues
Date: 04 February 2024 - 28 April 2024 (Sunday)
Venue: Admiralty Learning Centre
*The date of examination is included in the above class period.
Modules will offered in FEBRUARY, MAY AND OCTOBER intake each year(tentatively):
Postgraduate Diploma in Corporate Compliance
Postgraduate Diploma in Bank and Insurance Compliance
Listing Rules and Regulations Practices
Compliance in Insurance Sector (core)
Anti-money Laundering – Practices and Issues
Internal Controls – Concepts and Issues
Impact of Artificial Intelligence and Big Data on Compliance and Risk Management
Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions
Securities and Futures Regulations and Practices (core)
Compliance in Banking Sector (core)
Environmental, Social and Governance Reporting
Compliance for Fintech and Insurtech
Corporate Governance (core)
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.
2024 February Intake (Tentative)
|Module Code||Module Name||Class Period||Time||Venue|
|FINA6162||Anti-money Laundering – Practices and Issues||01 February 2024 - 09 May 2024 (Thursday)||19:00-22:00||United Learning Centre|
|ACCT6058||Compliance in Insurance Sector||03 February 2024 - 18 May 2024 (Saturday)||19:00-22:00||Island East Campus|
|ACCT6079||Internal Controls – Concepts and Issues||04 February 2024 - 28 April 2024 (Sunday)||14:00-17:30||Admiralty Learning Centre|
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.
Fee & Entry Requirements
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:
- 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.
Notes to applicants:
1. Applicants with relevant prior studies can apply for exemption,please complete the exemption form and furnish course outline.
HK$200 (non-refundable)Course Fee
- Course Fee : HK$7500 per module (Course Fees paid are not refundable and transferable if courses are successfully commenced in any one of HKU SPACE Learning Centers except as statutorily provided or under very exceptional circumstances)
- The CEF Institution Code of HKU SPACE is 100
|Business and Company Law (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 21Z10073-4||FEES $7,000||ENQUIRY 2867-8409 / 2867-8314|
|Financial Reporting Compliance (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 23Z10090-A||FEES $7,000||ENQUIRY 2867-8409 / 2867-8314|
|Impact of Artificial Intelligence and Big Data on Compliance and Risk Management (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 33Z108368||FEES $7,300||ENQUIRY 2867-8409|
|Internal Controls - Concepts and Issues (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 33Z149862||FEES $7,500||ENQUIRY 2867-8409|
|Compliance in Banking Sector (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 33Z149870||FEES $7,500||ENQUIRY 2867-8409|
|Compliance in Insurance Sector (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 33Z149889||FEES $7,500||ENQUIRY 2867-8409|
|Corporate Governance (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 33Z120643||FEES $7,000||ENQUIRY 2867-8409|
|Anti-money Laundering-practices and issues (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 33Z12066A||FEES $7,500||ENQUIRY 2867-8409|
|Compliance for Fintech and Insurtech (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 33Z134008||FEES $7,500||ENQUIRY 2867-8409|
|Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions (Module from Postgraduate Diploma in Bank and Insurance Compliance)|
|COURSE CODE 33Z140334||FEES $7,500||ENQUIRY 2867-8409|
|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 Bank and Insurance Compliance
Online Application Apply NowPayment Method
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 the 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.
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 (course 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, continuing students of award-bearing programmes, if their programmes offer online service, may also pay their course fees by Online WeChat Pay, Online Alipay and Faster Payment System (FPS). Please refer to Enrolment Methods - Online Enrolment for details.
- 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 Enrolement Centres and avoid making cheque payment under this circustance.
- 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 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.
- 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.
- Receipts will be issued for fees paid but HKU SPACE will not be repsonsible for any loss of receipt 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.