行政人員證書《合規科技》 - 香港大學專業進修學院: Finance and Compliance課程
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Accounting & Finance Finance and Compliance

Executive Certificate in RegTech
行政人員證書《合規科技》

Course Code
EP167A
Application Code
1945-EP167A
Study mode
Part-time
Start Date
To be advised
Duration
4 months
Language
English
Course Fee
HK$9000 per programme
How to Apply
Deadline on 03 Sep 2021 (Fri)
Enquiries
2867 8322
2861 0278
Launch Confirmed for Sept 2021

The programme aims to equip students with the latest knowledge in innovation and applications of regulatory technology (RegTech). Students will learn how RegTech transforms the financial industry and presents business challenges to the industry.

The programme will cover the contemporary issues, regulatory framework and the impacts of RegTech. Computational tools will be used to illustrate the different regulatory techniques.

Programme Objectives

The programme aims to equip students with the latest knowledge in innovation and applications of regulatory technology (RegTech). Students will learn how RegTech transforms the financial industry and presents business challenges to the industry. The programme will cover the contemporary issues, regulatory framework and the impacts of RegTech. Computational tools will be used to illustrate the different regulatory techniques.
 

On completion of the programme, students should be able to 

1.    analyze the practice of technological innovations related to the RegTech;
2.    discuss the regulatory framework and legal issues around RegTech in financial sector;
3.    examine the impacts of RegTech applications in financial sector; and
4.    apply computational tools to value the effectiveness of RegTech setting.


Executive Certificate in RegTech will be awarded to candidates who have achieved at least 70% attendance as well as attain pass grades of the programme.

 

WAM Pilot Programme

WAM

 

Executive Certificate in RegTech (ECRT) is one of the eligible courses under the Financial Incentive Scheme for Professional Training (the Scheme) of the Pilot Programme to Enhance Talent Training for the Asset and Wealth Management Sector (the WAM Pilot Programme), funded by the HKSAR government.  Under the Scheme, eligible individuals will be reimbursed 80% of the eligible course fees, subject to a maximum of $10,000 (Note: The cap was $7,000 prior to 17 April 2020.) per person throughout the period of 1 October 2016 to 31 March 2023.

Participants who meet the eligibility criteria, attendance requirement and completion of the the programme can apply for reimbursement under the Scheme.

Eligibility:  Please refer the details at the WAM Pilot Programme website.

Attendance Requirement:

  • The minimum class attendance requirement is 70%.
  • Attend the whole programme session.
  • Participants will not be given attendance record if they are late and/ or absent from the programme session for more than 15 minutes.
  • Attendance for the entire programme is signified by the sign-in and sign-out records on the attendance form.

Satisfactory completion of the ECRT programme: Eligible participants who wish to apply for reimbursement under the Scheme must follow the conditions govern the award of the programme to meet the requirements under the Scheme.

  • A student must be registered on this programme.
  • A student must have paid all due fees and amounts to HKU SPACE.
  • A student must have been examined in all the prescribed course work.
  • A student must have achieved Pass grades.
  • A student must have complied with the Regulations and its amendments made from time to time.

 

Application to reimburse the course fee, together with the required documents, must be submitted within FOUR months from the programme completion date. For ECRT programme, eligible participants can apply for course reimbursement upon satisfactory completion of the programme. A Letter of Completion will be issued to the eligible participants as a proof of completion of the ECRT course. The Letter of Completion will be sent to eligible participants by post upon completion of the ECRT programme.  

For further information, please refer to the WAM Pilot Programme website (www.wamtalent.org.hk) or contact the Programme team.

 

Speakers

Mr. SK Lee
Mr. SK Lee
SK Lee is currently the Chief Compliance Officer of RD Wallet Technologies Limited, which is a fintech company providing innovative solutions for payments amongst local and overseas corporate customers.  He is also acting as a Consultant in ZA International.
Before taking up the current roles, he was the Senior Executive in Business Development focusing on the Greater Bay Area, and the Head of Financial Crime Compliance in Hang Seng Bank Limited during 2014 to 2020.  He also spent 9 years in Standard Chartered Bank (Hong Kong) Limited performing various compliance roles and the last position was the Head of Compliance in Retail Clients.  During 1996 to 2006, SK worked in the Hong Kong Monetary Authority in both Banking Supervision and Banking Policy Departments.
SK is a Certified Anti-Money Laundering Specialist (CAMS) and Certified AML Professional (CAMLP), and a member of the Hong Kong Securities and Investment Institute (MHKSI).  He also holds Master degrees in law (LLM, Common Law, CUHK), in banking (MSc Banking, CityU) and Asian Studies (MA, HKU), and Bachelor degrees in Public & Social Administration (BA(Hons) PSA, CityU) and law (LLB, MMU UK).

Mr. Ken Liu
2
Mr. Ken Liu, 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. Mark Li
mark

Mark Li is a seasoned digital transaction banker, with more than 14 years of experience in Fintech, sales and client management; product and digital innovation; partnership and ecosystem development; risk and business management across cash management and trade finance. He has taken various senior leadership roles both locally in Hong Kong and regionally in Asia Pacific, and has been instrumental in developing HSBC’s regional sector strategy in Public Sector, overseeing their Global Standards Program in combatting business risks, running DBS’ shop in digital and pioneering the new product development for HK Fintechs. Mark Is also currently an Adjunct Assistant Professor for HKUST Business School Department of Information Systems, Business Statistics and Operations Management.

Mr. Savio Hui
Mr. Savio Hui

Savio Hui is the Head of Risk Management in RD Wallet Technologies Limited, which is a FinTech company aims at addressing pain points in cross-border trade through the launch of an innovative payment solution “RD Pay”.  He oversees risk management matters in the company from all aspects. Savio has 15+ years of experience as a risk professional.  Previously, he was the Head of Technology Risk in ZA Bank, the first virtual bank in HK which launched business in March 2020.  He serves as the 2nd line of defence for the bank overseeing technological risk management, and leads a team of professionals responsible for cyber resilience, threat intelligence, fraud risk handling, data privacy, business continuity and disaster recovery areas.  Savio holds a Bachelor Degree in Laws from University of London and a Bachelor Degree in Electronic Engineering from City University of Hong Kong.

Ms. Millie Pau
Ms. Millie Pau

Millie is the Alternate Chief Executive cum Chief Compliance Officer for WeLab Bank. WeLab Bank is one of the first virtual bank established in Hong Kong. It is powered by WeLab Group – a leading fintech company in Asia. By creating seamless digital experience, WeLab provides financial services to over 50 million users across Hong Kong, Mainland China and Indonesia.

Leveraging on her 20 years’ experience in the banking and financial services industry, Millie has acquired hand-on knowledge in implementing laws and regulations and embedding corresponding controls in large organisations. Through her active participation in industry forums of banks, Millie has also gained considerable insights in respect of fraud monitoring and Regtech development.

Prior to joining WeLab, Millie was the Executive Director, Compliance, Greater China in Standard Chartered (Hong Kong) Limited. She had taken various senior executive roles in both Standard Chartered (Hong Kong) Limited and HSBC.  Millie holds a master’s degree in laws and was a qualified solicitor (2002-2012) and has been an employed-barrister (since 2013) in Hong Kong.

Ms. Francis Choi
Francis Choi is the Head of Financial Crime Compliance of PAOBank with 23 years of experience working in Finance Crime Compliance, Anti-money laundering and Fraud investigation fields of insurers and banks across Asia Pacific. Francis specializes in Cross-border and complex fraud investigation, AML Investigation, FCC process optimization, and big data analysis application.

Application Code 1945-EP167A -

Venue
COURSE STRUCTURE
 

It comprises 30 contact hours which including 21 hours lectures and 9 hours practical classes in computer laboratory.

1.    Introduction to RegTech
•    Emergence of RegTech in financial world
•    Technology innovations of RegTech
•    How RegTech improve the efficiency and cost saving for business processes

2.    Regulatory and Legal Issues around RegTech
•    Global trends and government initiatives in RegTech
•    Introduction to HKMA’s Fintech Supervisory Sandbox
•    Regulation vs Privacy
•    New compliances and new monitoring processes
•    Detect compliance and regulatory risk
•    Assess risk exposure and anticipate future threats
•    The relationship between compliances and design of RegTech system

3.    AI and Machine learnings in RegTech
•    Big data processing techniques
•    The use of text analysis and Optical Character Recognition (OCR)
•    The operation on sentiment analysis
•    Interpretation of data thru various computational tools

4.    RegTech in cyber risk management 
•    How to identify potential cyberattacks and suspicious activities by using RegTech
•    Multitude of behavioural information
•    Behavioural biometric techniques
•    Activity logs
•    Robotic Process Automation (RPA)

5.    RegTech in credit risk management
•    How to improve the manual verified processes, reduce human errors and inefficiency by using RegTech
•    The use of data-driven estimation
•    Supervised Machine Learning (SML)-based methods to streamline corporate loan underwriting
•    Optical Character Recognition (OCR)
•    Text analysis
•    Linguistic analysis
•    Sentiment analysis

6.    RegTech in financial crime compliance 
•    How to prevent crimes and fraud by using RegTech
•    Holograms and facial recognition
•    Transaction monitoring
•    Application Programming Interfaces (API)
•    Fraud detection
•    AML/CFT surveillance technologies


ASSESSMENT METHOD

Students will be assessed by one individual assignment (70%) and in-class computer assignments (30%).  All assignments will be assessed  in English. 

Executive Certificate in RegTech will be awarded to candidates who have achieved at least 70% attendance as well as attain pass grades of the programme.

Sept 2021 intake

Executive Certificate in RegTech

堂數

日期

時間

1

7 Sept 2021 (Tue)    

7:00pm - 10:00 pm

 

2

14 Sept 2021 (Tue)    

3

28 Sept 2021 (Tue)    

4

5 Oct 2021 (Tue)    

5

12 Oct 2021 (Tue)    

6

19 Oct 2021 (Tue)    

7

26 Oct 2021 (Tue)    

8

2 Nov 2021 (Tue)     

9

9 Nov 2021 (Tue)    

10

16 Nov 2021 (Tue)       

Applicants shall: 

(i.) a bachelor’s degree awarded by a recognized institution or equivalent; or
(ii.) an Associate Degree / a Higher Diploma awarded by a recognized institution or equivalent and have at least 2 years of work experience.

Applicants with other qualifications will be considered on individual merit.

Application Fee

HK$150 HK$150 (Non-refundable)

Course Fee
  • Course Fee : HK$9000 per programme

Application Form Application Form

Enrolment Method
  1. Complete the application form.
  2. Submit the application form with the following documents:

(a) CERTIFIED TRUE COPIES of all relevant academic and/or professional qualifications (please also bring along the originals of these documents for certification at HKU SPACE enrollment center);

(b) CERTIFIED TRUE COPIES of HKID card / passport and visa (if applicable); 

(c) a non-refundable application fee of HK$150 by crossed cheque made payable to “HKU SPACE”; and 

The complete set of application forms with all relevant supporting documents may be submitted in person to any HKU SPACE enrollment centers.  

**Double-sided printing is much appreciated.**

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 aubmit 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.
  7. Classes are expected to be held at HKU SPACE learning centers. The health and safety of our students is our top priority. If the situation in Hong Kong requires, HKU SPACE reserves the right to move some classes to other locations, including online teaching platforms.
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