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Certificate for Module (Legal and Regulatory Practices for Family Office)
證書（ 單元 : 家族辦公室的法律與監管實務）

Course Code
FN134A
Application Code
2350-FN134A
Credit
9
Study mode
Part-time
Start Date
17 Oct 2025 (Fri)
Duration
30 hours
Language
English
Course Fee
HK$15000
Enquiries
2867 8476
2861 0278
pgdfosm@hkuspace.hku.hk
How to Apply
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How to Apply

Highlights

This programme will equip students with a detailed understanding of the regulatory environment, legal structures, and reporting requirements for family office, as well as the key legal considerations and strategies for lawyers working with family office. This includes exploring the use of trusts, wills, and other instruments in family office planning and succession, as well as the legal implications of managing various family office assets and engaging in charitable and philanthropic activities. After completing the programme, students will be equipped with the knowledge and skills to address family office’s unique regulatory, structural, and asset-related needs.
 

Programme Details

On completion of the programme, students should be able to

  1. critically analyse the regulatory landscape and compliance strategies for family office globally;
  2. analyse the legal structures and considerations for lawyers working with family office;
  3. interpret the use of trusts, wills, and other instruments in family office planning and succession; and
  4. critically review the legal reporting requirements and considerations for family office charity and philanthropy.

Assessment:

  • In-class Test &  Individual Written Assignment

Award:

  • Upon successful completion of the programme, students who have passed the assessment with attendance no less than 70% will be awarded within the HKU system through HKU SPACE a "Certificate for Module (Legal and Regulatory Practices for Family Office)".
Application Code 2350-FN134A -

Days / Time
  • Friday, 7:00pm - 10:00pm

Modules

Course Syllabus

1. Family Office Regulatory

  • Overview - Understanding the Regulatory Environment
  • Regulatory Landscape: Global and Regional Perspectives
  • Compliance Strategies: Implementing Effective Compliance Measures

 

2. Different Legal Structures Used by Family Office

  • Limited Companies
  • Foundations
  • Foundation Companies
  • Trusts

 

3. Issues for Lawyers

  • Identifying the Client: Due Diligence and Client Identification
  • Privilege Concerns - Maintaining Confidentiality and Legal Privilege
  • Managing Conflicts of Interest - Ethical Considerations
  • Insurance Considerations - Risk Management for Legal Professionals

 

4. Understanding Trusts Issues in Family Office

  • Types of Trusts
  • The Right Timing for Implementation
  • Trusts as an Estate Planning and Succession Vehicle 

 

5. Other Useful Instruments

  • Wills
  • Powers of Attorney (POAs)
  • Pre/Postnuptial Agreements
  • Insurance Strategies
  • Family Constitutions
  • Shareholder Agreements

 

6. Legal Reporting

  • Tax Reporting 
  • Automatic Exchange of Information 
  • Beneficial Ownership Reporting 
  • Economic Substance Compliance 

 

7. Charity and Philanthropy

  • Charitable Structures for Family Office
  • Jurisdictional Considerations for Charitable Giving

 

8. Legal Issues Pertaining to Certain Assets

  • Private Equity (PE) Funds 
  • Aircraft Ownership 
  • Yacht Ownership 
  • Art Collection Management 
  • Cryptocurrency Holdings 

 

Tutor Profile

MR. RICHARD DAVID GRASBY

Richard

Mr Grasby is a Partner in Appleby’s Hong Kong office, leading the Private Client, Trusts and Family Office practice. Richard advises trustees, ultra-high net worth individuals, private trust companies and family offices on the establishment, restructuring and administration of trusts. He regularly assists in estate administration, succession planning and family governance. Private clients and family offices instruct Richard to advise on the use of corporate vehicles for asset holding and succession planning purposes. Richard is an expert in regulatory law including AML, AEOI, economic substance, sanctions and licensing and risk management for trust companies. He also advises on collective investment funds, particularly unit trusts and private label funds. Richard has over 23 years’ post-qualification experience with the majority spent in offshore firms. Richard has lived and worked in Jersey, London, the Cayman Islands and (since 2009) Hong Kong. He is admitted as a solicitor in England and Wales and the British Virgin Islands and is a Registered Foreign Lawyer in Hong Kong. He has also been admitted as an Attorney in the Cayman Islands.

Richard is an active member of STEP. He has been on the local executive committee since 2012 and is a former chair. He is on the global steering committee for the Cross Border Estates Special Interest Group. He is a member of the Academic Community and Governance Committee. He is a member of the Hong Kong Trustee Association, the Family Firm Institute, the International Bar Association and the Investment Migration Council.

Mr Grasby graduated with a Distinction from the LPC at the College of Law, York, and holds an LLB in Law and French from the University of Bristol.

 

Class Details

Oct 2025 Class Schedule

Lecture  Date Time
1 17 Oct 2025 (Fri) 7 - 10 PM
2 24 Oct 2025 (Fri) 7 - 10 PM
3 31 Oct 2025 (Fri) 7 - 10 PM
4 3 Nov 2025 (Mon) 7 - 10 PM
5 14 Nov 2025 (Fri) 7 - 10 PM
6  21 Nov 2025 (Fri) 7 - 10 PM
7 28 Nov 2025 (Fri) 7 - 10 PM
8 5 Dec 2025 (Fri) 7 - 10 PM
9 12 Dec 2025 (Fri) 7 - 10 PM
10 19 Dec 2025 (Fri) 7 - 10 PM

 

Fee

Application Fee

HK$150 (Non-refundable)

Course Fee
  • Course Fee : HK$15000

Entry Requirements

Applicants shall hold a bachelor’s degree awarded by a recognised institution. Those with a business-related degree would have an advantage.

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:

  1. an overall band of 6.0 or above with no subtests lower than 5.5 in the IELTS; or
  2. 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
  3. HKALE Use of English at Grade E or above; or
  4. HKDSE Examination English Language at Level 3 or above; or
  5. equivalent qualifications.

Applicants with other qualifications will be considered on individual merit.

Apply

Application Form Download Application Form

Enrolment Method
Payment Method
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

  • 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.

  • 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.
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