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Accounting & Finance FinTech and Financial Analytics
Postgraduate Diploma in FinTech and Legal Regulations
金融科技及法規深造文憑
- Course Code
- FN168A
- Application Code
- 2385-FN168A
- Credit
- 60
- Study mode
- Full-time
- Start Date
- 18 May 2026 (Mon)
- Duration
- 12 months to 24 months
- Language
- English
- Course Fee
- Course Fee
HK$162,000
- Enquiries
-
2867 8331 / 2520 46172861 0278
Today and Upcoming Events
The Postgraduate Diploma, commonly referred to as a “研究生文凭” in Mainland China, is a qualification awarded by higher education institutions in former Commonwealth countries or regions (such as the United Kingdom, Canada, Australia, New Zealand, Singapore, Ireland, and Hong Kong SAR). It represents a higher level of study pursued after obtaining a bachelor's degree.
Generally speaking, Master's degree programmes emphasize academic scholarship, while Postgraduate Diploma programmes (or “研究生文凭” as commonly known in Mainland China) focus on developing professional application skills. Postgraduate Diplomas carry academic credits, and holders may apply for credit exemptions when enrolling in programmes in other countries or regions (if applicable). However, the extent of credit exemption depends on various factors and is ultimately determined by the university offering the programme.
Postgraduate programmes require students from outside Hong Kong to apply for a study visa before the course starts. For full details, please visit the Study Visa page. For details about the possibility to stay and work in Hong Kong after graduating from a full-time postgraduate programme, please visit the IANG Visa page.
12 months full-time study in Hong Kong to get your “Postgraduate Diploma in FinTech and Legal Regulations” award within the HKU system through HKU SPACE.
Applicants with other English-language qualifications may also be eligible for admission. Please contact the programme team for advice.
Programme Overview
Highlights
Programme Details
Programme Intended Learning Outcomes:
On completion of the programme, students should be able to:
- examine legal and regulatory frameworks in relation to FinTech;
- discuss the applications of FinTech and RegTech in finance and investment and examine their related legal regulations and statutory compliance issues;
- use computational tools to illustrate the applications of FinTech and apply AI algorithms for finance and investment;
- examine RegTech and robo advisory for investment and financial applications; and
- analyse financial data and perform financial analytics and portfolio management.
Programme Structure:
- Module 1: FinTech: Law and Regulations
- Module 2: AI and Financial Computing
- Module 3: Machine Learning for Financial Analytics
- Module 4: Regulatory Framework of Blockchain and Digital Currency
- Module 5: RegTech Applications in Finance
- Module 6: Robo Advisory and Portfolio Management
| Application Code | 2385-FN168A | - |
Modules & Class Details
Modules
Module 1: FinTech: Law and Regulations
- 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
Award
Upon successful completion of the programme, students who have passed the assessments with attendance no less than 70% will be awarded within the HKU system through HKU SPACE a “Postgraduate Diploma in FinTech and Legal Regulations.”
Class Details
Articulation Pathways
Career Path
There is a collaboration agreement with the School of Law, the University of Melbourne, to provide the opportunity for students of law-related postgraduate diploma programmes to apply for the Single Subject Study Abroad, and upon successful completion of the Single Subject Study Abroad: (i) the exemption granted / awarded credit towards this programme after completion of Single Subject Study Abroad shall be subject to mapping between the relevant module of this programme and the subject of the master programmes of School of Law at University of Melbourne and (ii) be eligible to apply for admission into the Melbourne Course with advanced standing. Students with outstanding academic results will be eligible to study the module in the School of Law at the University of Melbourne as exchange students.
- Master of Commercial Law;
- Master of Public and International Law;
- Master of Human Rights Law;
- Master of Banking and Finance Law;
- Master of Construction Law;
- Master of Global Competition and Consumer Law
Common Enrichment Modules (CEM)
In addition to the credit-bearing modules, students have the unique opportunity to engage in non-credit bearing Common Enrichment Modules (CEM) alongside peers from other Postgraduate Diploma (PgDip) programmes. These CEMs encompass a diverse range of subjects, including leadership development, communication skills, business and academic writing, and applications of artificial intelligence (AI) and ESG. By participating in these modules, students can expand their knowledge and skillsets, gaining valuable learning experiences that will better prepare them for their future careers.
Programme Specific Activities
During the study period, students will have the opportunity to participate in programme-specific activities such as field trips and career talks, all tailored to their individual needs. These activities are designed to foster stronger connections with the industry and provide students with invaluable hands-on experiences in the real business world. This exposure will not only help students set goals that align with their interests and aspirations but also facilitate their future career plans, ensuring they are well-prepared for their professional journeys.
Teachers
Teacher Information
Dr Francis Lau
Dr Lau is a seasoned financial data analytics practitioner, and a professional trainer in finance related disciplines. He has over 22 years of experience in business planning, data analytics, management information, regulatory compliance, and risk management acquired from working for multinational analytics vendors, banks, consulting firms, and universities. Dr Lau is a subject matter expert in applying data analytics to enhance business decision-making, constructing quantitative models to gauge business performance, and streamlining the management reporting processes. In addition to industry experiences, Dr Lau also has extensive exposures in developing and delivering academic and professional education programs for financial institutions, professional associations and universities. Dr Lau is a well-recognized trainer in compliance, data science, financial markets, risk management, and sustainability.
Mr Hong Lin
Mr Lin has fruitful experience in Fintech development and digital transformation across retail and institutional businesses in Citigroup. Over the past three years, Mr Lin has acted as an innovator by promoting big data analysis and managing a series of automation projects, covering the full process from streamlining to solution delivery with Automation Anywhere, Python, and VBA. His primary task has recently been to digitalize the business risk management for the bank’s prime brokerage business with data and automation technologies.
Mr Lin started his career journey as a business intelligence engineer focusing on Fintech solution development and sales opportunities discovery thru data analysis. In 2017, he engaged in an AI Financial Advisory development by backward engineering trading strategies and analyzing financial news with Natural Language Processing techniques (NLP) in Ping An Securities. In 2018, Mr. Lin led a market research project to optimize product lines by analyzing more than 100,000 lines of customer reviews on the Internet with web-scraping and NLP.
Mr Lin graduated from the University of California, Davis with a Bachelor of Science degree in Managerial Economics Development under Trade and Development of Agricultural Commodities, and from the Hong Kong University of Science and Technology with a Master of Science degree in Business Analytics.
Mr Joshua Chu
Mr Chu is the Chief Risk Officer at Coinllectibles™, the first publicly traded blockchain Fusion DOTs™ technology company in 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 and 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 that had been founded by ex-SFC Regulators as well as a management consultant for the Korean Blockchain Centre.
Mr Ken Liu
Mr Liu is the co-founder and CTO of Datatact Ltd, a startup focused 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 an Algo-Trading developer. Ken earned a Master's in Computer Science from USC and a Bachelor's in Computer Science from the University of Warwick.
Dr Simon Yiu
Simon, 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.
Fee & Entry Requirements
Fee
(Non-refundable)
Course Fee- Course Fee
HK$162,000
Entry Requirements
Applicants shall hold a bachelor’s degree in quantitative 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:
- an overall band of 6.0 or above with no subtests lower than 5.5 in the IELTS; or
- 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
- HKALE Use of English at Grade E or above; or
- HKDSE Examination English Language at Level 3 or above; or
- 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.
Apply
Application Form Download Application Form
Enrolment MethodOnline Enrolment
HKU SPACE provides 24-hour online application and payment service for students to apply to selected award-bearing programmes and to enrol in most open admission courses (courses enrolled on a first come, first served basis) via the Internet. Applicants may settle the payment by using either "PPS by Internet" (not available via mobile phones), VISA or Mastercard online. Online WeChat Pay, Online AliPay and Faster Payment System (FPS) are also available for continuing enrolment in the same programme, if online service is offered.
For first time enrolment
-
Complete the online application form
Applicant may click the icon
on the top right-hand corner of the programme/course webpage to make online application, and then follow the instructions to fill in the online application form.
Some programmes/courses may admit by selection, and may require applicants to provide electronic copy of any required documents (e.g. proof of qualification) as indicated on the programme/course webpage. Only file format in doc, docx, jpg and pdf are supported. -
Make Online Payment
Pay the application or programme/course fees by either using:
"PPS by Internet" - You will need a PPS account and a PPS Internet password. For information on how to open a PPS account and how to set up a PPS Internet password, please visit http://www.ppshk.com.
*Credit Card Online Payment - Course fees can be paid by VISA or Mastercard including the “HKU SPACE Mastercard”.
* HKU SPACE Mastercard cardholders who wish to enjoy 10-month interest free instalment scheme must pay their tuition fees in person at any of our HKU SPACE Enrolment Centres.
To know more about first-time online application/enrolment and payment, please refer to the user guide of Online Application / Enrolment and Payment:
For continuing enrolment in the same programme
Selected programmes offer online continuing enrolment service. Programme staff will inform students if they offer this service and offer further enrolment details.
Online Payment can be made via "PPS by Internet" (not available via mobile phones), VISA or Mastercard, Online WeChat Pay, Online AliPay and Faster Payment System (FPS)
In Person / Mail
For first time enrolment
-
For first come, first served short courses, complete the Application for Enrolment Form SF26 and bring or post the completed form(s), together with the appropriate application/course fee(s) and any required supporting documents to any of the HKU SPACE enrolment centres.
[Download Enrolment Form SF26] -
Award-bearing and professional courses may require other information. Forms are usually available at the enrolment centres or on request from programme staff. Bring or post the completed form(s), together with the appropriate application/course fee(s) and any required supporting documents to any of the HKU SPACE enrolment centres.
For continuing enrolment in the same programme
-
The standard ‘Enrolment/Payment Slip’ is designed for students of award-bearing programmes or remaining programmes in a suite of programmes requiring continuing enrolment and it applies to most programmes.
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Students should complete the “Enrolment/Payment Slip” which will be made available by relevant programme staff and return the slip to any HKU SPACE enrolment centre or post it to the relevant programme staff with appropriate fee payment.
Please refer to available Payment Methods for fee payment information. If you are in doubt about the procedures, please check the individual course details, or contact our programme staff or enrolment centres.
Please note the followings for programme/course enrollment:
- To make an application online, you will need a computer with connection to the Internet and a web browser with JavaScript enabled. Google Chrome is recommended.
- Applicants should not leave the online application idle for more than 10 minutes. Otherwise, applicants must restart the application process.
- Only Early Bird Discount is supported for Online Applicants (Application). To enjoy other types of discount, please visit one of our enrolment centres.
- During the online application process, asynchronous application and payment submission may occur. Successful payment may not guarantee successful application. In case of unsuccessful submission, our programme staff will contact you shortly.
- Applicants are reminded that they should only apply for the same programme/course once through counter or online application.
- For online enrolment, a payment confirmation page would be displayed after payment has been made successfully. In addition, a confirmation email would also be sent to your email account. You are advised to keep your payment confirmation for future enquiries.
- Fees paid are not refundable except as statutorily provided or under very exceptional circumstances (e.g. course cancellation due to insufficient enrolment).
- If admission is by selection, the official receipt is not a guarantee that your application has been accepted. We will inform you of the result as soon as possible after the closing date for application. Unsuccessful applicants will be given a refund of programme/course fee if already paid.
Disclaimer
The School provides a platform for online services for a selected range of products it offers. While every effort is made to ensure timeliness and accuracy of information contained in this website, such information and materials are provided "as is" without express or implied warranty of any kind. In particular, no warranty or assurance regarding non-infringement, security, accuracy, fitness for a purpose or freedom from computer viruses is given in connection with such information and materials.
The School (and its respective employees and subsidiaries) is not liable for any loss or damage in connection with any online payments made by you by reason of (i) any failure, delay, interruption, suspension or restriction of the transmission of any information or message from any payment gateways of the relevant banks and/or third party merchants for processing credit/debit/smart card or other payment facilitation mechanism; (ii) any negligence, mistake, error in or omission from any information or message transmitted from the said payment gateways; (iii) any breakdown, malfunction or failure of those gateways in effecting online payment service or (iv) anything arisen out of or in connection with the said payment gateways, including but not limited to unauthorised access to or alternation of the transmission of data or any unlawful act not permitted by the law.
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
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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.
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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.
About the Partners
Partner Details
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Hong Kong Digital Asset Society (HKDAS) is led by a volunteer group of members who care about the future of financial technology in Hong Kong, Greater China and Asia. We are not-for-profit and have an independent structure based on our three pillars of values: trust, transparency, and governance. We aim to develop and promote the four areas of the Digital Asset industry in Hong Kong.
Education - Provide lectures, mentoring services, workshops and necessary training to educate the public and students on the latest development in digital assets and blockchain technology.
Incubation - Support local entrepreneurs who try to build start-ups in the digital asset space. We help incubate and accelerate their growth by providing necessary training, support and resources.
Opportunity - Provide opportunities like gap year placement, internship and graduate trainee programme to grow and equip young talents and leaders and help them be ready for this evolving and innovative environment.
Integration - Encourage integrations and collaborations with regulators and industrial organizations locally and overseas. Increase investors’ confidence by promoting agreement on the industrial standards for products, practices or operations in the field.
- More Programmes of
- FinTech and Financial Analytics
