Finance and Compliance Programmes and Short Courses - HKU SPACE. Explore our list or programmes for part-time and full-time.
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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.




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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 AUG 2022 (SAT)
Duration 18 hours
Fee HK$4,500
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 27 AUG 2022 (SAT)
Duration 2 months to 3 months
Fee HK$9,900
本課程提供分析單一家族辦公室和聯合家族辦公室不同需要的知識,以及家族辦公室管理業界的最新發展。 本課程亦會利用真實案例及實戰練習,幫助同學了解如何選擇或設立家族辦公室。
開課日期 2022年10月7日 (星期五)
修業期 1個月至2個月
課程費用 HK$9000
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 03 DEC 2022 (SAT)
Duration 1 month to 2 months
Fee HK$7200
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
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 To be advised
Duration 30 hours
Fee HK$7800
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.
Start To be advised
Duration 4 months
Fee HK$9000
開課日期 待定
修業期 9個月
課程費用 HK$9,900
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 14 SEP 2022 (WED)
Duration 12 months to 48 months
Fee HK$6,800 per Finance module
HK$10,500 per Law module