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Accounting & Finance Finance 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
2185-AC009A

Credit
60
Study mode
Part-time
Start Date
21 May 2024 (Tue)
Next intake(s)
October 2024, February 2024
Duration
1 year to 3 years
Language
English
Course Fee
HK$7500 per module
Deadline on 05 May 2024 (Sun)
Enquiries
2867 8409 / 2867 8314
2861 0278
Apply Now

Today and Upcoming Events

CEF Reimbursable of ALL modules! 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 out of the following 4 modules!; namely 'AML - practices and issues'; 'Internal Control' , 'Impact of AI and Big Data on compliance and risk management' and 'AML- Cryptocurrency, Data Analytics and Financial Crime Sanctions'. 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!

Highlights

RELEVANT & PRACTICAL PROGRAMME IN 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.

All modules of the programme are CEF reimbursable.   
Extended non-means-tested loans Scheme (ENLS) from Government.
(ENLS Course Code: B00600213)

 

Comments from our current students!

Comments from our current students

                

 

 

 

 

 

 

 

 

FEEDBACK_ESG
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

【十年經驗Compliance,年薪可以過百萬?】
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

Programme Details

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 also recent development of ESG,AML,cryptocurrency and impact of AI on compliance.  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 six modules, duration of each ranges from 33 to 36 contact hours. 

  • Internal Controls - Concepts and Issues
  • Corporate Governance (core)
  • Listing Rules and Regulations
  • Securities and Futures Regulations and Practices (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
  • Environmental, Social and Governance Reporting

All the modules such as 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.

Award:  On successful completion of six modules (two core modules plus four elective modules); students will be awarded Postgraduate Diploma in Corporate Compliance of 60 credits. (**Students are required to pass both continuous assessment (50%)  and the final examination (50%) in order to pass a module.**)

Tutor's Profile

Listing Rules and Regulations - Dr Gary Leung (CA; ICSA) 

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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Corporate Governance - Mr. David Roper, BSc, MBA, LLM (Chinese Business Law), FCIM
David has over 20 years senior management positions in large corporations i.e. Jardine Matheson, New World Telecom and Octopus Rewards Limited and he is keen to share his successful experience in ethics and governance perspectives with students.

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Internal Controls - Concepts & Issues / Corporate Governance - 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 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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Securities and Futures Regulations and Practices - Mr. Albert Poon

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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Anti-Money Laundering – Practices and Issues / Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions - Mr. Albert Tang (Group Chief Risk & Compliance Officer and Manager In Charge  of various function of SFC)

Mr. Albert Tang has over 23 years of experience in Anti-Money Laundering/Counter Terrorist Finance control that covered the Law Enforcement, public sector, financial industry and fintech business.  He now oversees the Risk, Compliance and Internal control function of a Financial Fintech group and is responsible for the overall Group Corporate governance management, risk & compliance of the SFC supervision of asset investment, fintech business development with AI.  Previously, he played key person in Compliance role in Hong Kong based Insurance Institution and also worked in a Hong Kong Listed technology Companies, PCCW/HKT  supervised a team of compliance professionals in charge of all compliance-related activities across all financial service including Stored Value Facilities licenses, Virtual Bank, Insurance service, Money lending and FinTech business development and act as key contact with Hong Kong Monetary Authority.  

He has 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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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.

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Internal Controls - Concepts and Issues​ - Ms. Loretta Lee, FAIA, CPA, MA in International Accounting
 
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.

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Environmental, Social and Governance Reporting​ - Ms Sandy Chan, BSc, PhD

Ms. Sandy Chan is currently the Environmental Consultant in Ramboll Hong Kong Limited. She is responsible for engaging ESG/Sustainability disclosure projects, including benchmarking and gap analysis, stakeholder engagement and interviews, data analysis, and report drafting. She is also responsible for providing sustainability advisory and ESG-related risk management services, creating policies, guidelines related to sustainability programs. She assists in preparing pitch assignments and engaging potential clients

 

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Exemptions:

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 of the following if I am an associate member of HKICS?

a.  Corporate Governance -  Yes

2. How can the exemption fees be waived?

a. Exemption fees are waived for Postgraduate Diploma in Enterprise Risk Management and Postgraduate Diploma in Bank and Insurance.

Application Code 2185-AC009A Apply Online Now
Apply Online Now

Duration
  • 33 to 36 hours per module

Modules

Modules offered in May 2024 intake:

 

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

Date: 25 May 2024 - 17 Aug 2024 (Saturday)

Time: 14:30-17:30

Venue: To be Confirmed

 

Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions

Date: 23 May 2024 - 15 Aug 2024 (Thursday)   

Time: 19:00-22:00

Venue: Admiralty Learning Centre

 

Securities and Futures Regulations and Practices (core)

Date: 21 May 2024 - 20 Aug 2024 (Tuesday) 

Time: 19:00-22:00

Venue: To be Confirmed

 

 

*The date of examination is included in the above class period.

Modules will offered in FEBRUARY,  MAY AND OCTOBER intake each year(tentatively):

Intake

Postgraduate Diploma in Corporate Compliance

Postgraduate Diploma in Bank and Insurance Compliance

February 

 

Listing Rules and Regulations Practices

Compliance in Insurance Sector (core)

Anti-money Laundering – Practices and Issues

Internal Controls – Concepts and Issues

May 

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)

October

Environmental, Social and Governance Reporting

Compliance for Fintech and Insurtech

Corporate Governance (core)

 

  • CEither 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.
* HKU SPACE reserves the right to make changes.
* Commencemnet of class is subject to sufficient enrollment.

Class Details

TENTATIVE SCHEDULE

2024 May Intake (Tentative)

 

Module Code Module Course Name Class Period Time Venue
FINA6196 Impact of Artificial Intelligence and Big Data on Compliance and Risk Management 25 May 2024 - 17 Aug 2024 (Saturday)   14:30-17:30 To be Confirmed
FINA6292 Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions 23 May 2024 - 15 Aug 2024 (Thursday)   19:00-22:00

Admiralty Learning Centre

FINA6005 Securities and Futures Regulations and Practices (core) 21 May 2024 - 20 Aug 2024 (Tuesday)  19:00-22:00 To be Confirmed

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

Application Fee

HK$200 (non-refundable)

Course Fee
  • Course Fee : HK$7500 per module

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:

  1. an overall band of 6.0 or above with no subtests lower than 5.5 in the IELTS; or
  2. 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
  3. HKALE Use of English at Grade E or above; or
  4. HKDSE Examination English Language at Level 3 or above; or
  5. 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.

CEF

  • The CEF Institution Code of HKU SPACE is 100
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 Courses
Financial Reporting Compliance (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 23Z08965-5 FEES $7,000 ENQUIRY 2867-8475
CEF Courses
Internal Controls – Concepts and Issues (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 33Z149781 FEES $7,500 ENQUIRY 2867-8409
Listing Rules and Regulations (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 33Z14979A FEES $7,500 ENQUIRY 2867-8409
Securities and Futures Regulations and Practices (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 33Z149803 FEES $7,500 ENQUIRY 2867-8409
Impact of Artificial Intelligence and Big Data on Compliance and Risk Management (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 33Z10835A FEES $7,500 ENQUIRY 2867-8409
Corporate Governance (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 33Z120635 FEES $7,500 ENQUIRY 2867-8409
Anti-money Laundering-practices and issues (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 33Z120651 FEES $7,500 ENQUIRY 2867-8409
Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 33Z140318 FEES $7,500 ENQUIRY 2867-8409
Environmental, Social and Governance Reporting (Module from Postgraduate Diploma in Corporate Compliance)
COURSE CODE 33Z140326 FEES $7,500 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 Corporate Compliance

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

Apply

Online Application Apply Now

Application FormDownload 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, 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.
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 (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.

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 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. 
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