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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
CEF Reimbursable Course (selected modules only)
- Course Code
- FN078A
- Application Code
- 2185-FN078A
- QF Level
-
Financial assistance
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Continuing Education Fund Reimbursable Course
(selected modules only)Some modules of this course have been included in the list of reimbursable courses under the Continuing Education Fund.
- Credit
- 60
- Study mode
- Part-time
- Start Date
- 06 May 2024 (Mon)
- Next intake(s)
- Jul 2024
- 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
- Enquiries
-
2867 83312861 0278
Today and Upcoming Events
Programme Overview
Highlights
Programme Details
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 | 2185-FN078A | Apply Online Now |
| Apply Online Now | ||
Modules & Class Details
Modules
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
Teachers
Mr Knut Fournier
Mr. Fournier is a US-qualified lawyer and experienced law professional. 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 at Ernst and Young and is a Certified Public Accountant (CPA) in Hong Kong and Canada.
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 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.
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 Tsoi
Ken has over 10 years of full-time working experience across start-ups, data software companies, retail banking, insurance companies, listed co., and large MNC FI firms in areas of AI, business intelligence, big data and machine learning. He is currently working in a Hang Seng Index listed company as a Senior Data Scientist in charging of data projects which are related on Predictive Analytics, Business Automation and Neural Network. He has been teaching and coaching on different institutes and schools over the decade and is a professional on communicating abstract data concept and theory to layman and student in an efficient and effective way. He holds Bachelor (Hon) of Statistics and Operation Research in HKBU and Master of Statistics and Risk Management in HKU. He is a certified FRM (Financial Risk Management) Professional, Certified Statistical Business Analyst; Certified Predictive Modeler: Enterprise Miner; Certified Advanced Programmer; Certified Base Programmer; and Certified System Platform Administrator, all 5 Credentials were approved by SAS Institute.
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
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
Entry Requirements
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.
CEF
- The CEF Institution Code of HKU SPACE is 100
| CEF Courses | ||
|---|---|---|
| AI and Financial Computing (Module from Postgraduate Diploma in FinTech and Legal Regulations) | ||
| COURSE CODE 33Z138909 | FEES $11,000 | ENQUIRY 2867-8331 |
| Machine Learning for Financial Analytics (Module from Postgraduate Diploma in FinTech and Legal Regulations) | ||
| COURSE CODE 33Z138917 | FEES $11,000 | ENQUIRY 2867-8331 |
| RegTech Applications in Finance (Module from Postgraduate Diploma in FinTech and Legal Regulations) | ||
| COURSE CODE 33Z138925 | FEES $11,000 | ENQUIRY 2867-8331 |
| Robo Advisory and Portfolio Management (Module from Postgraduate Diploma in FinTech and Legal Regulations) | ||
| COURSE CODE 33Z138933 | FEES $11,000 | ENQUIRY 2867-8331 |
| FinTech: Law and Regulations (Module from Postgraduate Diploma in FinTech and Legal Regulations) | ||
| COURSE CODE 33Z141306 | FEES HK$11,000 | ENQUIRY 2520-4617 |
| Regulatory Framework of Blockchain and Digital Currency (Module from Postgraduate Diploma in FinTech and Legal Regulations) | ||
| COURSE CODE 33Z141314 | FEES HK$11,000 | ENQUIRY 2520-4617 |
|
Continuing Education Fund Reimbursable Course (selected modules only) Some modules of this course have been included in the list of reimbursable courses under the Continuing Education Fund. |
Postgraduate Diploma in FinTech and Legal Regulations
|
Apply
Online Application Apply Now
Application Form 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.
-
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 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.
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.
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