Postgraduate Diploma in Bank and Insurance Compliance (CEF) - HKU SPACE: Finance and Compliance, Accounting courses
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Accounting & FinanceFinance and Compliance

Postgraduate Diploma in Bank and Insurance Compliance
銀行及保險規範深造文憑

CEF Reimbursable Course (selected modules only)

CEF Reimbursable Course (selected modules only)

Course Code
AC055A
Application Code
1770-AC055A

Study mode
Part-time
Start Date
10 Feb 2020 (Mon)
Next intake(s)
Feb 2020
Duration
1 year to 3 years
Language
English supplemented with Cantonese
How to Apply
Deadline on 24 Jan 2020 (Fri)
Enquiries
2867 8409 / 2867 8314
2861 0278
Graduates of Postgraduate Diploma in Bank and Insurance Compliance could claim 3 exemptions from the Postgraduate Diploma in Corporate Compliance!!

Students Comments:


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Teacher prepared the notes and content of lessons are closely related to the real life.

Relevant and Practical!

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He understand the industry well and guide us on how to apply in workplace.

The lecturer has quoted many real life examples regarding the areas concerned.

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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.   

NEW MODULE " IMPACT OF ARTIFICIAL INTELLIGENCE AND BIG DATA ON COMPLIANCE AND RISK MANAGEMENT" IN JUNE 2019!

 

COMMENTS FROM OUR CURRENT STUDENTS!

  1

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%。
與時俱進,不懼淘汰的風險,即瀏覽:>https://goo.gl/amnRSe

>#enterprise >#risk >#management >#accounting >#compliance >#insurance>#corporate

              

Programme Objective

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.

The programme is designed to equip students with contemporary accounting and financial reporting standards which need to be complied with in order to provide true and fair financial information for business decision making; the legal framework to enhance the corporate governance in listed and private companies.

Programme Structure

This programme offers seven modules in three intakes; Feb, Jun and Oct each year, duration of each range from 33 to 36 contact hours. 

  1. Financial Reporting Compliance
  2. Internal Controls - Concepts and Issues
  3. Business and Company Law
  4. Corporate Governance
  5. Compliance in Banking Sector (core)
  6. Compliance in Insurance Sector (core)
  7. Anti-money Laundering-practices and issues
  8. 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; accounting and financial reporting standards which need to be complied with in order to provide true and fair financial information for business decision making; the legal framework to enhance the corporate governance in listed and private companies.

Graduates would be able to better manage risk and comply with rules with higher standard and greater confidence.

Award

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

 

TUTOR'S PROFILE

Dr Gary Leung (CA; ICSA)

Financial Reporting Compliance / Listing Rules and Regulations

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.

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Mr. Albert Poon

Securities and Futures Regulations and Practices

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.

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Mr Patrick Rozario (CPA (Aust); CISA; IIA)

Internal Controls - Concepts & Issues / Corporate Governance

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.

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Mr. Gary Yiu (MSc(CUHK), MSc(HKPU), CPA, CIA, CISA, CCEBS)

Compliance in Insurance Sector

Mr. Yiu now heads up the Group Audit of an international bank.  He was Associate Director of one of the Big-4 firms and is currently working for an internal audit function of a leading bank in Hong Kong. He has extensive external and internal audit experience and served as a lecturer of various academic programmes and professional courses in the past 7 years.

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Mr. Richard K. L. Man (Barrister-at-Law, LLB (HKU), PCLL (HKU), LLM (UCL))

Business and Company Law

Mr. Man is a practising barrister in Hong Kong who has acquired a practice that spans across a wide spectrum of areas. He has the experience of advising on matters engaging business and company law, and thus possesses a solid foundation of legal knowledge of the area and insights of its practical dimensions. 

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Mr. Albert Tang (Chief Compliance Officer, Money Laundering Reporting Officer)


Anti-Money Laundering – Practices and Issues

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.

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Mr. F. W. Wan, BSc, MSc, CISA

Impact of Artificial Intelligence and Big Data on Compliance and Risk Management

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.

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Exemptions:

Business and Company Law - for claiming exemption, students need to study both business law and company law.  For company law, study needs to be on the New Company Ordinance which came into force on 3 March 2014.

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.

 

FAQ

  1. Could I get exemption if I study Financial Reporting or if I am a CPA?

This is not a traditional financial reporting subject.  It relates accounting standards to compliance issues; disclosure and prospectus.

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

a.  Corporate Governance -  Yes

b.  Business and Company Law – No, since the syllabus of HKICS only covers HK Corporate Law

Application Code 1770-AC055A -

Duration
  • 33 to 40 hours per module
  • 11 to 13 meeting(s)

Modules offered in FEB 2020 intake:

 

Anti-money Laundering - Practices and Issues

Date: 14 Oct 2019(Mon)

Time: 7:00-10:00pm

Venue: Admiralty

 

Corporate Governance

Date: 10 Oct 2019(Thur)

Time: 7:00-10:00pm

Venue: Admiralty

 

Compliance in Banking Sector

Date: 05 Oct 2019(Sat)

Time: 2:00-5:00pm

Venue: Island East Campus

 

Coming Modules offered in June 2020 intake:

Either weekday evenings, 7:00 - 10:00 pm or, Saturday afternoons, 2:00 - 5:00 pm, or Saturday evenings, 6:30 - 9:30 pm, or Sunday afternoon, 2:00 - 5:00 pm.

*(detail timetable will be sent to enrolled students)

 

 

 

Application Fee

HK$200 (non-refundable)

Course Fee
  • HK$7000 per module
  • The CEF Institution Code of HKU SPACE is 100
CEF Courses
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
CEF Courses
Internal Controls - Concepts and Issues (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 23Z10088-8 FEES $7,000 ENQUIRY 2867-8409 / 2867-8314
Compliance in Banking Sector (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 23Z10089-6 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
Compliance in Insurance Sector (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 23Z10091-8 FEES $7,000 ENQUIRY 2867-8409 / 2867-8314
CEF Courses
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 $7,000 ENQUIRY 2867-8409
Continuing Education Fund Reimbursable Course 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

  • This course is recognised under the Qualifications Framework (QF Level [6])

Postgraduate Certificate in Bank and Insurance Compliance

  • This course is recognised under the Qualifications Framework (QF Level [6])

Application Form Application Form

Payment Method
1. Cash or EPS

Cash or EPS are accepted 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 write the programme title(s)  and the applicant’s name on the back of the cheque. You may either:

  • in person by submitting the payment, completed form(s), and required supporting documents to any of our enrolment centres; or
  • by mailing the above documents to any of our enrolment centres, specifying “Course Application” on the envelope. 
3. VISA/MasterCard

Course applicants, who are holders of HKU SPACE Mastercard, can enjoy a 10-month interest-free instalment period for courses of HK$2,000 and over. For enquiries, please contact our enrolment centres.

4. Online payment

Online payment for short courses (first come, first served) and selected award-bearing programmes is available using PPS, VISA or Mastercard. 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 online PPS will be reimbursed by a cheque; fees paid by credit card will be reimbursed to credit card account used for payment.
  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 teams for details.
  4. Fees and places on courses are not transferrable. 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.
  5. HKU SPACE will not be responsible for any loss of payment, receipt, or personal information sent by mail.
  6. For additional copies of receipts, 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. Such copies will normally be issued at the end of a course.