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  3. Certificate for Module (ESG Compliance and Internal Control)

Certificate for Module (ESG Compliance and Internal Control)
證書（單元 : ESG 規範與內部監控）

Course Code
AC157A
Application Code
-AC157A
Credit
9
Study mode
Part-time
Start Date
To be advised
Duration
30 hours
Language
English
Course Fee
HK$9000 per programme
Enquiries
2867 8409
2861 0278
certformod@hkuspace.hku.hk
How to Apply
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How to Apply

Highlights

The programme equips students with knowledge of rules and regulations related to ESG and the Internal Control Framework for Sustainability Reporting and ESG management.  An effective Internal Control will reduce risk and be able to enhance ESG performance. Students will also be able to report activities using Environmental and Social key performance indicators; and learn to identify, measure and manage climate-related risks.

Programme Details

On completion of the programme, students should be able to

  1. comply with ESG reporting framework and disclosure requirements by Hong Kong Exchanges and Clearing Limited (HKEX) and International Financial Reporting Standards (IFRS);
  2. examine and report in accordance with the climate disclosure requirements of HKEX and Task Force on Climate-Related Financial Disclosures (TCFD);
  3. strengthen Internal Control for carrying out ESG; and
  4. apply the Internal Control Framework in Sustainability Reporting.

Mode: Part-time

The duration of the programme is  4 months (Contact hours: 30 hours)

Assessment and Award

  • Assessment is based on an individual assignment (50%) and an examination (50%).
  • On successful completion of the programme, students will be awarded within the HKU system through HKU SPACE a Certificate for Module (ESG Compliance and Internal Control).

 

Syllabus:

1.       Introduction of Regulatory Bodies and their roles in ESG compliance

• Hong Kong Exchanges and Clearing Limited (HKEX)

• Task Force on Climate-Related Financial Disclosures (TCFD)

• Science Based Targets Initiative (SBTi)

• International Sustainability Standards Board (ISSB)

 

2.       Corporate Governance

• Rules and Guidance

• 5 codes of Corporate Governance

• Environmental and social matters

 

3.       ESG Reporting related Listing Rules and guidelines by HKEX

• Environmental, Social and Governance Reporting Guide

• Mandatory disclosure or “comply or explain” approach

 

4.       Reporting Principles and Reporting Boundary

• Materiality assessment and ESG Mandatory Disclosure Requirements

• Overview of Carbon Net Zero and Greenhouse Gas Emissions

 

5.       Environmental Key Performance Indicators (KPIs)

• Reporting Guidance on Environmental KPIs

• Components of the KPIs

• Identification of operating activities to report

• Collect, calculate and report the information

 

6.       Social Key Performance Indicators (KPIs)

• Reporting Guidance on Social KPIs

• Components of the KPIs

• Identification of operating activities to report

• Collect, calculate and report the information

 

7.         Climate Disclosures under HKEX ESG reporting framework and TCFD

• Governance – the company's governance in relation to climate-related risks and opportunities

• Strategy – the actual and potential impacts of climate-related risks and opportunities on the company's businesses, strategy, and financial planning where such information is material

• Risk Management – how the company identifies, assesses, and manages climate-related risks

• Metrics and Targets – the metrics and targets used to assess and manage relevant climate-related risks and opportunities where such information is material

 

8.          Overview of International Financial Reporting Standards IFRS S1 & IFRS S2

• IFRS S1 sets out the general requirements for a complete set of sustainability-related financial disclosures.

• IFRS S1 is designed to be applied in conjunction with IFRS S2, which is a topic-based standard that specifies disclosures relating to climate.

 

9.         Internal Control Framework for ESG management

• Maintaining an Internal Control System for delivering ESG performance

• Processes and controls to incorporate sustainability  

 

10        Overview of ESG Internal Control

• Mitigate risks related to Environmental, Social and Governance matters

• Ensure preparation of reliable and accurate ESG report through data collection and validation

 

11.       Building Internal Control over Sustainability Reporting (ICSR)   

• 2013 COSO Internal Control-Integrated Framework

• The golden standard to evaluate internal control, governance and oversight

 

 

TUTOR'S PROFILE

ESG Compliance and Internal Control - Dr. William Chen

Dr Chen has over 30 years’ experience in financial and operation management in the Greater China and Asia Pacific region. His career has spanned a diverse range of industries including medical devices, food and beverage, consumer products, e-commerce and retail. He successfully completed two companies’ exits in the past 8 years and the recent transaction receiving “Exit of the Year - Mid Cap” in The Asian Private Equity & Venture Capital Awards 2023.

Dr Chen earned his doctorate degree in Business Administration from Curtin University. He is FCMA, CGMA and FCPA (Australia & HK), CTA (Non-practicing), CMC and HKCGI Cert: ESG holder. He recently completed ESG and Sustainable Financial Strategy executive course provided by Oxford’s Said Business School.

Dr Chen is Vice President of Association of Chinese Internal Auditors, HKSAR Area Committee Member of Chartered Institute of Management Accountants (CIMA) and past Chairman of CIMA, HK Branch.

Application Code -AC157A -

Fee

Application Fee

HKD$150 (Non-refundable)

Course Fee
  • Course Fee : HK$9000 per programme

Entry Requirements

Applicants shall hold a bachelor’s degree awarded by a recognised 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:

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 with other qualifications will be considered on individual merit.

Apply

Application Form Download 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 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 personal information and 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 (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, new and continuing students of award-bearing programmes with available online service, they may also pay their course fees by Online WeChat Pay, Online Alipay or 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 Enrolment Centres and avoid making cheque payment under this circumstance.

  • 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, FPS or PPS by Internet will be reimbursed by a cheque, and fees paid by credit card will be reimbursed to the credit card account used for payment. 

  • 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.
  • HKU SPACE will not be responsible for any loss of payment, receipt, or personal information 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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