Postgraduate Diploma in FinTech and Legal Regulations - HKU SPACE: FinTech and Financial Intelligence courses
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Class arrangement during COVID-19


The COVID-19 situation may still be fluid and constantly affect class arrangements in the coming months. The health and safety of our students will always be our top priority. To ensure that students’ academic progress is not affected, the School may substitute face-to-face classes with online teaching if necessary in the event that face to-face classes cannot be held. Our respective Programme Teams will contact the students concerned with details of such arrangements as necessary.

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Accounting & Finance FinTech and Financial Intelligence

Postgraduate Diploma in FinTech and Legal Regulations
金融科技及法規深造文憑

Course Code
FN078A
Application Code
2035-FN078A

Study mode
Part-time
Start Date
27 Jul 2022 (Wed)
Next intake(s)
Sep 2022
Duration
12 months to 24 months
Language
English
Course Fee
Module fee: $11,000 (course fees are subject to change without prior notice)
2 installment-:1st- three modules: $33,000 and 2nd- three modules: $33,000
Apply Now
Deadline on 14 Jul 2022 (Thu)
Enquiries
2867 8331
2861 0278

This programme aims to impart inter-disciplinary knowledge of FinTech and legal regulations to students who are interested in the latest applications of FinTech and related legal issues. It examines contemporary elements and issues of FinTech and applies computational tools to finance and investment through practical workshops in the computer laboratory. The programme illustrates the applications of AI, RegTech, blockchain and robo advisory as well as explains the regulatory framework and statutory compliance.

Programme Intended Learning Outcomes:

On completion of the programme, students should be able to:
1. examine legal and regulatory frameworks in relation to FinTech; 
2. discuss the applications of FinTech and RegTech in finance and investment and examine their related legal regulations and statutory compliance issues;
3. use computational tools to illustrate the applications of FinTech and apply AI algorithms for finance and investment;
4. examine RegTech and robo advisory for investment and financial applications; 
5. analyse financial data and perform financial analytics and portfolio management.

Programme Structure
  • Module 1: FinTech: Law and Regulation (30 hours)
  • Module 2: AI and Financial Computing (42 hours)
  • Module 3: Machine Learning for Financial Analytics (33 hours)
  • Module 4: Regulatory Framework of Blockchain and Digital Currency (30 hours)
  • Module 5: RegTech Applications in Finance (33 hours)
  • Module 6: Robo Advisory and Portfolio Management (42 hours)

Award:

Students who complete all six modules with over 70% attendance and pass all individual assignments and group presentations will be awarded the Postgraduate Diploma in FinTech and Legal Regulations within the HKU system through HKU SPACE.

Application Code 2035-FN078A Apply Online Now
Apply Online Now

Module 1: FinTech: Law and Regulation
  • Introduction to the regulatory framework and compliance issues for banking and securities investments
  • The evolving relationship between FinTechs, regulators, and traditional financial institutions
  • Banking regulations and policies in Hong Kong and overseas
  • Blockchain, data privacy and security
  • Regulatory and legal issues around FinTech
  • Legal compliance of Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT)
  • Legal issues and policies for wealth management under WealthTech and InsurTech
  • RegTech, SupTech, LegalTech and the future of compliance

Assessment: Written assignment + One group project and group report

 

Module 2: AI and Financial Computing
  • Principles of finance
  • Overview of AI in finance
  • Introduction to Python programming
  • Mathematical and computational methods for finance

Assessment: Two assignments  + One group project and group report

 

Module 3: Machine Learning for Financial Analytics
  • Introduction to machine learning and financial analytics
  • Machine learning and algorithms
  • Financial modelling and financial analytics

Assessment: Two assignments  + One group project and group report

 

Module 4: Regulatory Framework of Blockchain and Digital Currency
  • Introduction to blockchains and digital currencies
  • Introduction to smart contracts and governance design
  • Regulation of finance and securities markets in the age of blockchain
  • Cryptoassets, Initial Coin Offerings (ICOs) and their regulatory framework
  • Digital identity and privacy
  • The intersection of blockchain technologies with existing legal frameworks
  • Legal services use-cases for blockchains and digital currencies

Assessment: Written assignment + One group project  and group report 

 

Module 5: RegTech Applications in Finance
  • Introduction to Regulatory Technology (RegTech)
  • RegTech for Financial Institutions in Hong Kong​
  • Innovative technology around RegTech
  • Capabilities and applications of RegTech in banking and finance

Assessment: Two assignments  + One group project and group report

 

Module 6: Robo Advisory and Portfolio Management
  • Essentials of Robo Advisory and Automated Investment
  • Introduction to portfolio construction
  • Asset allocation and portfolio management

Assessment: Two assignments  + One group project and group report

 

Teacher
 

Mr. Knut Fournier
Mr. Fournier is a US-qualified lawyer and experienced law teacher. He worked in competition law compliance in London, before moving in-house. He specialises in the media and technology sectors, and worked on complex e-commerce, consumer protection, and payment regulation matters. He is now the APAC Head of Legal for StubHub, the ticketing company. Knut published extensively on competition law and technology. He taught law at the City University of Hong Kong, and Shue Yan University.

Mr. Clive Yip
Mr. Yip is a practitioner in Data Analytics.  He has 10 years of experience in both Big 4 consulting firms and multinational companies.  He is currently working as a Senior Data Analytics Consultant in a leading insurance company, using Python, SQL and other Big Data technologies to analyse and monitor any non-compliance or fraudulent activities.  He has a Master’s degree in Information Technology from HKUST and a Bachelor’s degree from the University of Southern California.  Before entering the data analytics field, he worked as a financial auditor in Ernst and Young and is a Certified Public Accountant (CPA) in Hong Kong and Canada.

Mr. Ken Liu
Mr. Liu is the co-founder and CTO of Datatact Ltd, a startup focus on AI, Machine Learning and Big Data analytics. He is a hands on expert in his specialized area for over 10 years.  Prior to Datatact, Ken worked at Citi, HSBC, Goldman Sachs, Deutsche Bank and Credit Suisse as Algo-Trading developer. Ken earned a Master in Computer Science from USC and a Bachelor in Computer Science from University of Warwick.

Mr. Joshua Chu 
Mr. Chu is the Chief Risk Officer at Coinllectibles™, the first publicly traded blockchain Fusion DOTs™ technology company on the US OTC Markets. He is also a Litigation Solicitor qualified to practice in Hong Kong. Before becoming a lawyer, Mr. Chu worked in the healthcare industry serving as the IT department head at a private hospital as well as overseeing their procurement operations.
Aside from his roles as a Chief Risk Officer and Lawyer, Mr. Chu is currently also a Senior Consultant with Prosynergy, a regulatory consulting firm which had been founded by ex-SFC Regulators as well as being a management consultant for the Korean Blockchain Centre.

Mr. Terence Young
Mr. Young is an accomplished leader and senior management staff with over 30 years of service in the private and public sector. Currently the Deputy Head of the Anti Fraud Management Division of the Bank of China Hong Kong, commanding various units including anti ebanking and credit card fraud, property protection and business continuity planning teams. Also a retired Senior Police Commander in the Hong Kong Police Force including 16 years in criminal investigation; prior to completing Police service, holding the rank of Senior Superintendent, commanding over 800 uniformed officers, crime investigators and civilian staff, taking a wide spectrum of roles of planning, leading, organizing, and controlling, as well as responsibilities in community safety and engagement, crime prevention and investigation, due diligence and due compliance, in addition to internal disciplinary enquiry and integrity management;  Also equipped with well-developed executive, analytical and influential capabilities, while displaying dedication, flexibility and resourcefulness.

Dr. Simon Yiu
Dr. Yiu us the IT Department Head of a financial institution in Hong Kong, has handled many FinTech initiatives and projects, such as Algo trading, finance big data analytics, Robo-advisors and so on. Before that, he also worked for AI, and Machine learning startup as co-founder and CTO which located at a Hong Kong Science Park and participated at the University organized Entrepreneurship Center in 2010, focusing on AI, Machine Learning, Big Data analytics and Natural language processing. Furthermore, he has hands-on programming experiences in FinTech areas for over 10 years. Simon earned a Doctoral Degree in Business Administration from the City University of Hong Kong and a Master Degree in Data Science and Business Statistics from The Chinese University of Hong Kong.

Applicants shall hold a bachelor’s degree in quantitative or computational areas (e.g., economics, finance, mathematics, statistics, science, computer science, IT, engineering) awarded by a recognized institution or equivalent.

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: 
i. an overall band of 6.0 or above with no subtests lower than 5.5 in the IELTS; or
ii. 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 
iii. HKALE Use of English at Grade E or above; or
iv. HKDSE Examination English Language at Level 3 or above; or
v. equivalent qualifications. 

Applicants who hold the Advanced Diploma for Legal Executives (Graduate Level) awarded within the HKU system through HKU SPACE would be eligible for entry.
Applicants without undergraduate qualifications, but have substantial work experience will be considered on individual merit.

Applicants who do not have a background in quantitative or computational areas are required to take the Certificate for Module (Quantitative Methods in Finance) as the bridging course. They must complete and pass the module before the commencement of the programme.

Application Fee

HK$150 (Non-refundable)

Course Fee
  • Module fee: $11,000 (course fees are subject to change without prior notice)
    2 installment-:1st- three modules: $33,000 and 2nd- three modules: $33,000

Online Application Apply Now

Application Form Application Form

Enrolment Method
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.