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

Postgraduate Diploma in Corporate Compliance
企業規範深造文憑

CEF Reimbursable Course (selected modules only)

CEF Reimbursable Course (selected modules only)

Course Code
AC009A
Application Code
1690-AC009A

Study mode
Part-time
Start Date
19 Jun 2019 (Wed)
Next intake(s)
10-2019
Duration
1 year to 3 years
Language
English, supplemented with Cantonese
How to Apply
Deadline on 31 May 2019 (Fri)
Enquiries
2867 8409 / 2867 8314
2861 0278

CEF Reimbursable modules, so course fees for two modules only $1,200!!

1. With the newly introduced elective, graduates of Postgraduate Diploma in Corporate Compliance could claim 3 exemptions from the Postgraduate Diploma in Bank and Insurance Compliance!!

2. HKU SPACE is one of the approved CPT providers of the Securities and Futures Commission, and the course “Postgraduate Diploma in Corporate Compliance – Securities and Futures Regulations and Practice” is relevant to all the regulated activities, depending on the topics covered.

3. Compliance jobs is still growing and in an upward trend!




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.

New ModuleImpact 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 objectives of the Programme are to equip students with skills and knowledge to analyse and interpret relevant listing rules, SFC regulations and financial standards.  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 seven modules, duration of each ranges from 33 to 36 contact hours. 

  • Financial Reporting Compliance
  • Internal Controls - Concepts and Issues
  • Corporate Governance (core)
  • Listing Rules and Regulations
  • Securities and Futures Regulations and Practices (core)
  • Business and Company Law
  • Anti-money Laundering - practices and issues
  • Impact of Artificial Intelligence and Big Data on Compliance and Risk Management

All the modules such as financial reporting compliance, 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.

The programme is designed to equip students with contemporary  financial reporting standards for providing true and fair financial information ; the legal framework and listing regulations applicable to  listed corporations; and be able to apply accounting, listing compliance and SFC regulation to enhance the corporate governance in listed and private companies.

Award:  On successful completion of six modules ( which needs to include one of the core modules); students will be awarded Postgraduate Diploma in Corporate 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 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 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. 

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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. 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 (Compliance, Head of AML)

Anti-Money Laundering – Practices and Issues

Mr. Albert Tang has over 18 years of experience in Anti-Money Laundering – Practices and Issues that covered both the Law Enforcement, public sector and financial industry.  He held senior position in Hong Kong Listed Companies and leads a team of compliance professionals in charge of all compliance-related activities across all Stored Value Facilities licenses business, act as key contact with Hong Kong Monetary Authority and handle 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 AI and Robotics process automation (‘RPA’) risk advisory practice in an international advisory firm. Prior to joining the advisory sector, Mr. Wan was a regulator with primary focus on policy setting and issuing codes in relation to cyber security, electronic trading and robo-advisory areas. Previously, he also played a lead role in driving Asia Pacific technology audit and data analytics in a Top-tier US investment bank. He obtained a Master of Science degree from the Chinese University of Hong Kong.

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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 1690-AC009A -

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

Modules offered in June 2019 intake:

 

Financial Reporting Compliance

Date: 19 June 2019(Wed)

Time: 7:00-10:00pm

Venue: TBC

 

Internal Controls - Concepts & Issues

Date: 25 June 2019(Tue)

Time: 7:00-10:00pm

Venue: TBC

 

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

Date: 21 June 2019(Fri)

Time: 7:00-10:00pm

Venue: TBC

 

Coming Modules offered in Oct 2019 intake:

  • Business and Company Law
  • Securities and Futures Regulations and Practices

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)

Applicants shall:

 a)  hold a bachelor’s degree in any discipline awarded by a recognized university;

AND

 b)  provide evidence of English proficiency (if the degree or equivalent qualification is from an institution where the language of teaching and assessment is not English) such as:

i) an overall band of 6.0 with no subtests lower than 5.5 in the IELTS; or

ii) a score of 550 in the paper-based TOEFL, or a score of 213 in the computer-based TOEFL, or a score of 80 in the internet-based TOEFL; or

iii) HKDSE Examination English Language at Level 3 or above; or

iv) HKALE Use of English at Grade E or above; or

v) other equivalent qualifications.

 

Applicants with other qualifications will be considered on individual merit.

Notes to applicants:

1. Students need to study a  Basic Accounting  course prior to take Financial Reporting Compliance.

2. 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.

3. Applicants with relevant prior studies can apply for exemption,please complete the exemption form and furnish course outline.

Application Fee

HK$200 (non-refundable)

Course Fee
  • HK$7000 per module
  • The CEF Institution Code of HKU SPACE is 100

CEF SectorBusiness Services

CEF Courses
Business and Company Law (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 21Z10074-2 FEES $7,000 ENQUIRY 2867-8409 / 2867-8314

CEF SectorFinancial Services

CEF Courses
Financial Reporting Compliance (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 23Z08965-5 FEES $7,000 ENQUIRY 2867-8475
Internal Controls – Concepts and Issues (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 23Z08966-3 FEES $7,000 ENQUIRY 2867-8475
Listing Rules and Regulations (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 23Z08967-1 FEES $7,000 ENQUIRY 2867-8475
Securities and Futures Regulations and Practices (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 23Z08968-A FEES $7,000 ENQUIRY 2867-8475
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.

Application Form Application Form

Enrolment Method

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.
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.