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Certificate for Module (Financial Planning and Regulatory Certification)
證書(單元 : 財務規劃與監管認證)

Course Code
MS175A
Application Code
2290-MS175A
Credit
9
Study mode
Part-time
Start Date
12 Jun 2025 (Thu)
Duration
30 hours
Language
English
Course Fee
HK$7,000 per module
Enquiries
2867 8461 / 2867 8332
2861 0278
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Highlights

This programme aims to provide students with knowledge and practical skills in financial planning and wealth management, preparing them for mandatory licensing certifications and effective client engagement. Students will gain insights into financial markets, banking products, risk management and compliance.

Programme Details

Intended Learning Outcomes
On completion of this programme, students should be able to
  1. develop comprehensive financial plans tailored to individual client needs and risk profiles;
  2. analyse various financial markets, banking products, and regulatory frameworks;
  3. apply knowledge of insurance principles and practices to create effective risk management strategies;
  4. demonstrate the necessary knowledge in the areas of insurance, securities, and futures regulation; and
  5. demonstrate proficiency in Know Your Customer (KYC)/ Anti-Money Laundering (AML) compliance, and other essential financial regulations.
Certificate for Module (Financial Planning and Regulatory Certification) Apply Online Now
Application Code 2290-MS175A
Start Date 12 Jun 2025
Apply Online Now

Modules

Syllabus

  • Introduction to financial planning
  • Core knowledge for mandatory certifications (I) – Insurance
  • Core knowledge for mandatory certifications (II) - Securities

 

Assessment and Award

Assessment Method
Two 2-hour examinations
 
Students who have successfully fulfilled the course assessment (i.e. passed the examinations PLUS attended at least 70% of the classes) will be awarded the "Certificate for Module (Financial Planning and Regulatory Certification)" within the HKU system through HKU SPACE.

Class Details

VENUE

To be confirmed

DURATION
  • 30 hours
  • Thursday 7:00 - 10:00 pm, and
  • Saturday 2:30 - 5:30 pm and 6:30 - 9:30 pm

Fee

Application Fee

HK$150 (non-refundable)

Course Fee
  • Course Fee : HK$7,000 per module

Entry Requirements

Applicants shall:

(a) hold an Advanced Diploma, a Higher Diploma or an Associate Degree in a business-related discipline awarded by a recognised institution;
 
AND
 
(b) (i) have gained in HKCEE Grade E in 4 subjects (including Mathematics) and Level 2 in English Language*, or equivalents; or
 
(ii) have gained in the HKDSE Examination Level 2 in 5 subjects including English Language and Mathematics;
 

* With effect from 2007, HKU SPACE recognises Grade E previously awarded for English Language (Syllabus B) (Grade C in English Language (Syllabus A)) at HKCEE as an acceptable alternative to Level 2 in this subject at HKCEE.

Applicants from non-business academic backgrounds and with other equivalent qualifications are eligible to apply and will be considered on a case-by-case basis.

Apply

Online Application Apply Now

Application Form Download Application Form

Enrolment Method

Partner Details

The programme will be offered in association with the Hongkong and Shanghai Banking Corporation Limited (HSBC).