Executive Certificate in Big Data, Governance and Compliance - HKU SPACE: Investment Management, FinTech and Financial Intelligence courses
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Accounting & FinanceInvestment Management

Executive Certificate in Big Data, Governance and Compliance

New Course
Course Code
Application Code
Study mode
Start Date
16 Nov 2019 (Sat)
Next intake(s)
Feb 2020
3 months
Course Fee
HK$6000 per programme
Apply Now
Deadline on 06 Nov 2019 (Wed)
2520 4612
2861 0278
Accepting application for Nov 2019 intake!

Enrol this programme to explore new knowledge about Big Data, Cybersecurity, Governance and Compliance issues!

Executive Certificate in Big Data, Governance and Compliance aims to provide students with an overview in Big Data potentials, fraud detection and prevention for corporates, banking and financial services.


The programme contents cover challenges and limitations in using Big Data in business. Key concepts include Big Data governance and compliance regulatory requirement, best practices in data protection and risk management.  Case studies will be used to explain the importance of fraud detection and prevention in reducing company losses. Case studies emphasis will be in banking and financial services sector. 


「轉數快」首月錄159萬登記 已處理333億元交易《明報財經》

PayMe用戶疑遭盜款 警方交刑事調查隊跟進《無線新聞》

HSBC hired an analytics expert to shape up its compliance team by efinancialcareers

分業監管礙金融科技 by appledaily

Data governance framework: What is it…. by SAS

BIG DATA ANALYSIS AND ITS NEED FOR EFFECTIVE E-GOVERNANCE   International Journal of Innovations & Advancement in Computer Science 

reducing big data compliance riskstoTips  by TechRepublic

On completion of the programme, students should be able to:
1.     examine the Big Data handling process with ethical issues of Big Data collection and privacy protection within the financial services;
2.     discuss the Big Data governance as a corporate governance imperative;
3.     discuss the Big Data challenges and opportunities in banking and financial services;
4.     evaluate the risk and challenges in real life case studies of handling Big Data fraud detection and prevention;
5.     leverage current technology and Big Data to enhance governance and compliance;
6.     develop a privacy framework to protect privacy information from Big Data.

Application Code 1755-EP106A Apply Online Now
Apply Online Now

Days / Time
  • Saturday, 1:00pm - 7:00pm
  • 30 hours per module
  • 5 meeting(s)
  • 6 hours per meeting

Course Content: 

1.     What is Big Data?

2.     Big Data processing chain

-     Data, database, data warehouse, data mining, data visualization

3.     Defining Big Data – volume; velocity; variety; variability and veracity

4.     Big Data landscape

5.     Business and Technology implications of Big Data

6.     Management and Storage of Big Data – cloud storage

7.     Business Challenges and Big Data Opportunities in Financial Services and Banking:

-     Key business challenges

-     How can the financial services industry use Big Data?

A.     Asset Management Banking

B.     Banking

i)     Potential of Bank Customer Data:

- Customer Analytics: Customer segmentation for banking needs

- Personalized financial products offering

ii)     How can Banks realize greater value from customer data?

iii)     How can Banks scale-up to next level of customer data analytics?

iv)     How Big Data transforms Banking and Financial Services?

v)     Limitations for Banks to exploit Big Data

C.     Capital Markets

D.     Insurance

-     Enterprise modelling platform

-     Risk and capital management

-     Wealth management

-     Improving customer intimacy

-     Improving fraud detection

8.     Fraud detection and security

-     Fraud Detection Techniques with Predictive Analytics

-     Best practices for implementing Big Data for fraud prevention

-     How Big Data analytics enhances monitoring performance and enables quicker decisions in detecting suspicious behavior, uncovering threats and vulnerabilities, preventing security incidents, and backing up forensic analyses

-     Risk Prediction

-     Corporate Fraud detection and prevention

Cases: Preventing Health Care Fraud with Big Data and Analytics/ Insurance claims; Fraud monitoring and fraud risk management case: Big Data based fraud risk management at Alibaba

9.     Data Protection in the era of Big Data and the responsibility of information governance and compliance from a privacy prospective:

-     Potential challenges in the staggered data

-     Volume and sensitivity of data sets

-     Maximize potential of Big Data and protects privacy of consumers

-     Ambiguous data collection

-     Unauthorized sharing and unexpected uses of data

-     Heightened security risks

-     Potential for discrimination

-     Privacy framework with appropriate approach to notice and consent

-     Ethical and fair usage of Big Data to achieve value based innovation

-     Compliance and regulatory reporting

Teacher profiles:

(1)  Prof. Stephen Ng  is a seasoned senior executives for InnoTech ICT corporates. He launched many first innotechs in the region, namely the first broadband, 3G, 4G, e-commerce, m-commerce, AaaS cloud, Biometric IDaaS and A.I. automation applications at the region. Graduates of  A.I. FinTech from Oxford University plus various renowned qualifications in Education, Internet Security and Strategic Management. Professor taught in various institutions and schools in a wide spectrum of Financial Innovation, Digital Marketing, Big Data, Compliance and Governance, etc. Being appointed as Company Doctor and Mentor for Corporates and Startups over years.  Successful helped Intellectuals Transfer & Wisdom Inspirations for different industries and governments in the region. Professor Invited as Honouray Advisor for international NGOs, Councils and Institues. Proactively promoting Mindfulness-Based Entreprenuarship & Intelligent Transformations for Public and Private sectors. Awards from government and renowned communities on Tech Gibs and Hackings. Currently conducting R&D projects in Blockchain 4.0, RegTech 2.0 and SupTech2.0 designs and IoT applications at Cyberport, InnoCenter and the Greater Bay Area. Invited as Principal Advisors for New Economy, CulturalFinance and InnoTech Councils in the regions, delivering disruptive approach in Human Factored Technological Advancements.


Assessment method: class participation + assignment

The Executive Certificate will be conferred to candidates who have attained PASS grade and achieved at least 70% attendance of the programme.

Nov 2019 intake

Lecture Date Time Venue 
1 16 Nov 2019 (Sat) 13:00-19:00 TBC
2 23 Nov 2019 (Sat) 13:00-19:00 TBC
3 7 Dec 2019 (Sat) 13:00-19:00 TBC
4 14 Dec 2019 (Sat) 13:00-19:00 TBC
5 21 Dec 2019 (Sat) 13:00-19:00 TBC

Remarks: Tentative timetable is subject to change and course commencement is subject to sufficient enrollment numbers.

Applicants shall hold:
a)    a bachelor’s degree awarded by a recognized University or equivalent; or
b)   an Associate Degree/ a Higher Diploma or equivalent, and have at least 2 years of relevant working experience.

Applicants with other qualification and substantial senior level work experience will be considered on individual merit.

**Please upload copy of HKID and proof of degree while applying online. 

Application Fee

HK$150 (student only needs to pay one time application fee for all EC in Big Data Series)

Course Fee
  • Course Fee : HK$6000 per programme (course fees are subject to change without prior notice)

Online Application Apply Now

Application Form Download Application Form

Enrolment Method

HKU SPACE provides 24-hour online application and payment service for students to make enrolment for most open admission courses (courses enrolled on first come, first served basis) and selected award-bearing programmes via the Internet.  Applicants may settle the payment by using either PPS, VISA or Mastercard online.

  1. Complete the online application form

    Applicant may click the icon Apply Now 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 be admitted 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. 

  2. Make Online Payment

    Pay the programme/course fees by either using:

    PPS via 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”.

To know more about online enrolment and payment, please refer to the user guide of Online Enrolment and Payment:


In Person / Mail

For first time enrolment

Applicants must provide all the required information on the application form and any additional information as required after the intial application assessment. Otherwise the School may not be able to process the admission/enrolment further.

  1. 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.  
  2. 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 course

In person or by post
  1. 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.
  2. 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.

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:

  1. To make an application online, you will need a computer with connection to the Internet and a web browser with JavaScript enabled. Internet Explorer 5.01 or above is recommended for the web browser.
  2. Applicants should not leave the online application idle for more than 10 minutes.  Otherwise, applicants must restart the application process.
  3. Only S-MILES and Early Bird Discount are supported in Online Applicants (Application).  To enjoy other types of discount, please visit one of our enrolment centres.
  4. 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.
  5. Applicants are reminded that they should only apply for the same programme/course once through counter or online application.
  6. For online enrolment, 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.
  7. Fees paid are not refundable except as statutorily provided or under very exceptional circumstances (e.g. course cancellation due to insufficient enrolment).
  8. 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.


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.

Payment Method
1. Cash or EPS

Cash or EPS are accepted 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 write the programme title(s)  and the applicant’s name on the back of the cheque. You may either:

  • in person by submitting the payment, completed form(s), and required supporting documents to any of our enrolment centres; or
  • by mailing the above documents to any of our enrolment centres, specifying “Course Application” on the envelope. 
3. VISA/MasterCard

Course applicants, who are holders of HKU SPACE Mastercard, can enjoy a 10-month interest-free instalment period for courses of HK$2,000 and over. For enquiries, please contact our enrolment centres.

4. Online payment

Online payment for short courses (first come, first served) and selected award-bearing programmes is available using PPS, VISA or Mastercard. Please refer to the Online Services page on the School website.


  1. For general and short courses, applicants may be required to pay the course fee in cash or by EPS, Visa or Mastercard if the course is to start shortly.
  2. 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, cheque or online PPS will be reimbursed by a cheque; fees paid by credit card will be reimbursed to credit card account used for payment.
  3. 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 teams for details.
  4. Fees and places on courses are not transferrable. 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.
  5. HKU SPACE will not be responsible for any loss of payment, receipt, or personal information sent by mail.
  6. For additional copies of receipts, 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. Such copies will normally be issued at the end of a course.