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Accounting & Finance Finance and Compliance

Finance and Compliance

Compliance departments of banks and brokerage firms have been expanding in both size and importance over the past few years, and they are certain to keep growing for the foreseeable future. Financial institutions are putting more resources into their compliance teams to minimize the possibility of receiving fines from regulators. Many high paying jobs have been created in finance and compliance. Our programmes in anti-money laundering, financial compliance and regulation will provide with you the basic information of a job in the compliance industry and advice on how to build a successful career.




Finance and Compliance Programmes

Programmes Type

Programme Type


Start Date

Class Schedule

Financial Assistance


Hong Kong Island


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開課日期 2023年12月15日 (星期五)
修業期 9個月
課程費用 HK$9,900
Hong Kong Monetary Authority (HKMA) works together with the banking industry to introduce an industry-wide competency framework – Enhanced Competency Framework (ECF) on Anti-money Laundering and Counter-financing of Terrorism (AML/CFT) to support talent development in AML/CFT.  The syllabus will be provided by the Hong Kong Institute of Bankers (HKIB) and this programme is offered for students to prepare for the ECF on AML/CFT Professional Level Examination.
Start 20 JAN 2024 (SAT)
Duration 18 hours
Fee HK$5,000
The programme aims to provide students with the latest development of Financial Technology (FinTech) and the contemporary issues related to Banking and Financial Services sectors. It offers knowledge about the various technological applications to enhance the competitive edges of banks, investment and securities firms. In addition, security and regulatory issues will be covered in this programme.
Start 02 MAR 2024 (SAT)
Duration 2 months to 3 months
Fee Course Fee: $9900 per programme (* course fees are subject to change without prior notice)
The programme takes an integrated approach to fund administration and the regulatory landscape in asset management. The programme offers an overview of investment fund structures, strategies, regulation and fund administration from front-end to back office operations. It also covers the current development of fund regulatory compliance in the Greater Bay Area.  
Start 14 MAR 2024 (THU)
Duration 30 hours
Fee HK$8800
In view of limited funding available in the market, from the government or private venture capital, developing a feasible and appealing business plan as well as good pitching skills are more important than ever to win funding and sponsorship. This executive certificate helps entrepreneurs, SME owners, corporate project managers, and change-makers refine and differentiate their business plans to increase the chance of success in these turbulent times.
Start To be advised
Duration 3 months
Fee HK$7,200
This programme offers the essential concepts and contemporary issue about aircraft leasing and financing. It provides a broad overview of main categories of different aircraft leasing transactions.
Start To be advised
Duration 1 month to 2 months
Fee HK$8000
The programme takes an integrated approach to financial law and ethics in business and finance. It considers how legal principles and ethical considerations are applied in the context of real case studies. The programme offers an overview of financial law and ethics in financial market transactions in capital markets and asset management. It also analyses the efficacy of the organizational requirements which companies are obliged to have in place to prevent unethical conduct from happening.
Start To be advised
Duration 3 months
Fee Application $150 (non-refundable)

Module 1 (15 hrs) $3,750
Financial Law and Regulations 

Module 2 (15 hrs) $3,750
Ethics and Professional Practice in Finance

Postgraduate Diploma in Finance and Law is designed to give you a sophisticated understanding of the legal and regulatory framework for the local and international financial sector, by taking an integrated approach to finance and law. Financial institutions need leaders who have extensive knowledge relating to the legal issues in international finance and banking.
This PGDFL creates a new kind of financial services professional: graduates who are trained in both finance and law. You will develop an advanced interdisciplinary understanding of relevant legal and financial contexts and combines a highly analytic academic core with applications informed by current practice.

Start 05 JAN 2024 (FRI)
Duration 12 months to 48 months
Fee HK$7,400 per Finance module (Subject to approval)
HK$10,500 per Law module
RELEVANT & PRACTICAL PROGRAMME IN SFC AND LISTING COMPLIANCE!!   This is a unique programme that focuses on practical applications and all-round training in corporate compliance; it is positioned to be the pioneer in the market.   Contemporary cases will be discussed; drawing reference from standards and rules highlighting the issues and grey areas. Real-life examples and updated cases will be discussed during the class.
Start 01 FEB 2024 (THU)
Duration 1 year to 3 years
Fee HK$7500
A unique programme that aims to provide students with a coherent, relevant and practical programme of knowledge in bank and insurance compliance and prepares them for a career in these and related sectors.   Real-life cases  and exampleswill be discussed, drawing reference from standards and rules highlighting the non-compliance issues involved and grey areas.   
Start 03 FEB 2024 (SAT)
Duration 1 year to 3 years
Fee HK$7500