Executive Certificate in RegTech - HKU SPACE: Finance and Compliance courses
Class arrangement during COVID-19

The COVID-19 situation may still be fluid and constantly affect class arrangements in the coming months. The health and safety of our students will always be our top priority. To ensure that students’ academic progress is not affected, the School may substitute face-to-face classes with online teaching if necessary in the event that face to-face classes cannot be held. Our respective Programme Teams will contact the students concerned with details of such arrangements as necessary.

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Accounting & Finance Finance and Compliance

Executive Certificate in RegTech

Course Code
Application Code
Study mode
Start Date
To be advised
4 months
Course Fee
HK$9000 per programme
Apply Now
Deadline on 08 Apr 2022 (Fri)
2867 8322
2861 0278

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.

Programme Objectives

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.

On completion of the programme, students should be able to 

1.    analyze the practice of technological innovations related to the RegTech;
2.    discuss the regulatory framework and legal issues around RegTech in financial sector;
3.    examine the impacts of RegTech applications in financial sector; and
4.    apply computational tools to value the effectiveness of RegTech setting.

Executive Certificate in RegTech will be awarded to candidates who have achieved at least 70% attendance as well as attain pass grades of the programme.

Attendance Requirement:
The minimum class attendance requirement is 70%.


Mr. SK Lee
Mr. SK Lee

SK Lee is the Project Leader of RD ezLink – an innovative project under RD Technologies with an aim to solve pain points in CDD process faced by corporate customers and banks.

He is currently the Chief Compliance Officer of RD Technologies, a FinTech company providing innovative solutions for payments amongst local and overseas corporate customers, and eCDD solution.  He is also acting as a Consultant in ZA International, which maintains various financial arms locally, including the first virtual bank in Hong Kong.

Before taking up the current roles, he was the Senior Executive in Business Development focusing on the Greater Bay Area, and the Head of Financial Crime Compliance in Hang Seng Bank Limited during 2014 to 2020, covering also Hang Seng China and other regulated financial subsidiaries in Hong Kong, Macau and Singapore.  He also spent 9 years in Standard Chartered Bank (Hong Kong) Limited performing various compliance roles and the last position was the Head of Compliance in Retails Clients.  During 1996 to 2006, he worked in the Hong Kong Monetary Authority in both Banking Supervision and Banking Policy Departments.

SK is a Certified Anti-Money Laundering Specialist (CAMS) and Certified AML Professional (CAMLP), and Fellow of the Hong Kong Securities and Investment Institute (FHKSI).  He also holds Master degrees in Law (LLM, Common Law, CUHK), in banking (MSc Banking, CityU), and Asian Studies (MA, HKU), and Bachelor degrees in Public & Social Administration (BA(Hons) PSA, CityU) and Law (LLB, MMU, UK).

Mr. Ken Liu
Mr. Ken Liu, co-founder and CTO of Datatact Ltd, a startup focus 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 Algo-Trading developer. Ken earned a Master in Computer Science from USC and a Bachelor in Computer Science from University of Warwick.

Mr. Mark Li

Mark Li is a seasoned digital transaction banker, with more than 14 years of experience in Fintech, sales and client management; product and digital innovation; partnership and ecosystem development; risk and business management across cash management and trade finance. He has taken various senior leadership roles both locally in Hong Kong and regionally in Asia Pacific, and has been instrumental in developing HSBC’s regional sector strategy in Public Sector, overseeing their Global Standards Program in combatting business risks, running DBS’ shop in digital and pioneering the new product development for HK Fintechs. Mark Is also currently an Adjunct Assistant Professor for HKUST Business School Department of Information Systems, Business Statistics and Operations Management.

Mr. Savio Hui
Mr. Savio Hui

Savio Hui is the Head of Risk Management in RD Wallet Technologies Limited, which is a FinTech company aims at addressing pain points in cross-border trade through the launch of an innovative payment solution “RD Pay”.  He oversees risk management matters in the company from all aspects. Savio has 15+ years of experience as a risk professional.  Previously, he was the Head of Technology Risk in ZA Bank, the first virtual bank in HK which launched business in March 2020.  He serves as the 2nd line of defence for the bank overseeing technological risk management, and leads a team of professionals responsible for cyber resilience, threat intelligence, fraud risk handling, data privacy, business continuity and disaster recovery areas.  Savio holds a Bachelor Degree in Laws from University of London and a Bachelor Degree in Electronic Engineering from City University of Hong Kong.

Ms. Millie Pau
Ms. Millie Pau

Millie is the Alternate Chief Executive cum Chief Compliance Officer for WeLab Bank. WeLab Bank is one of the first virtual bank established in Hong Kong. It is powered by WeLab Group – a leading fintech company in Asia. By creating seamless digital experience, WeLab provides financial services to over 50 million users across Hong Kong, Mainland China and Indonesia.

Leveraging on her 20 years’ experience in the banking and financial services industry, Millie has acquired hand-on knowledge in implementing laws and regulations and embedding corresponding controls in large organisations. Through her active participation in industry forums of banks, Millie has also gained considerable insights in respect of fraud monitoring and Regtech development.

Prior to joining WeLab, Millie was the Executive Director, Compliance, Greater China in Standard Chartered (Hong Kong) Limited. She had taken various senior executive roles in both Standard Chartered (Hong Kong) Limited and HSBC.  Millie holds a master’s degree in laws and was a qualified solicitor (2002-2012) and has been an employed-barrister (since 2013) in Hong Kong.

Mr. Simon Yip
Mr Simon Yip

Simon Yip is the Head of Compliance of Mox Bank, one of the founding members of Mox.  Prior to Mox, Simon worked in the risk and compliance functions including Citibank and Standard Chartered.  With his extensive experience in the banking industry, Simon sets up the next level of compliance and conduct culture in virtual bank. Simon’s vision is to bring a more efficient and easily accessible banking services with the right balance on customer protection.

Ms. Francis Choi
Francis Choi is the Head of Financial Crime Compliance of PAOBank with 23 years of experience working in Finance Crime Compliance, Anti-money laundering and Fraud investigation fields of insurers and banks across Asia Pacific. Francis specializes in Cross-border and complex fraud investigation, AML Investigation, FCC process optimization, and big data analysis application.


Application Code 1980-EP167A Apply Online Now
Apply Online Now


It comprises 30 contact hours which including 21 hours lectures and 9 hours practical classes in computer laboratory.

1.    Introduction to RegTech
•    Emergence of RegTech in financial world
•    Technology innovations of RegTech
•    How RegTech improve the efficiency and cost saving for business processes

2.    Regulatory and Legal Issues around RegTech
•    Global trends and government initiatives in RegTech
•    Introduction to HKMA’s Fintech Supervisory Sandbox
•    Regulation vs Privacy
•    New compliances and new monitoring processes
•    Detect compliance and regulatory risk
•    Assess risk exposure and anticipate future threats
•    The relationship between compliances and design of RegTech system

3.    AI and Machine learnings in RegTech
•    Big data processing techniques
•    The use of text analysis and Optical Character Recognition (OCR)
•    The operation on sentiment analysis
•    Interpretation of data thru various computational tools

4.    RegTech in cyber risk management 
•    How to identify potential cyberattacks and suspicious activities by using RegTech
•    Multitude of behavioural information
•    Behavioural biometric techniques
•    Activity logs
•    Robotic Process Automation (RPA)

5.    RegTech in credit risk management
•    How to improve the manual verified processes, reduce human errors and inefficiency by using RegTech
•    The use of data-driven estimation
•    Supervised Machine Learning (SML)-based methods to streamline corporate loan underwriting
•    Optical Character Recognition (OCR)
•    Text analysis
•    Linguistic analysis
•    Sentiment analysis

6.    RegTech in financial crime compliance 
•    How to prevent crimes and fraud by using RegTech
•    Holograms and facial recognition
•    Transaction monitoring
•    Application Programming Interfaces (API)
•    Fraud detection
•    AML/CFT surveillance technologies


Students will be assessed by one individual assignment (70%) and in-class computer assignments (30%).  All assignments will be assessed  in English. 

Executive Certificate in RegTech will be awarded to candidates who have achieved at least 70% attendance as well as attain pass grades of the programme.

April 2022 intake

Executive Certificate in RegTech





19 April 2022 (Tue)

7:00pm - 10:00 pm



26 April 2022 (Tue)


3 May 2022 (Tue)


10 May 2022 (Tue)


17 May 2022 (Tue)


24 May 2022 (Tue)


31 May 2022 (Tue)


7 June 2022 (Tue)


14 June 2022 (Tue)


21 June 2022 (Tue)

Applicants shall: 

(i.) a bachelor’s degree awarded by a recognized institution or equivalent; or
(ii.) an Associate Degree / a Higher Diploma awarded by a recognized institution or equivalent and have at least 2 years of work experience.

Applicants with other qualifications will be considered on individual merit.

Application Fee

HK$150 HK$150 (Non-refundable)

Course Fee
  • Course Fee : HK$9000 per programme

Online Application Apply Now

Application Form Application Form

Enrolment Method
  1. Complete the application form.
  2. Submit the application form with the following documents:

(a) CERTIFIED TRUE COPIES of all relevant academic and/or professional qualifications (please also bring along the originals of these documents for certification at HKU SPACE enrollment center);

(b) CERTIFIED TRUE COPIES of HKID card / passport and visa (if applicable); 

(c) a non-refundable application fee of HK$150 by crossed cheque made payable to “HKU SPACE”; and 

The complete set of application forms with all relevant supporting documents may be submitted in person to any HKU SPACE enrollment centers.  

**Double-sided printing is much appreciated.**

Payment Method

Cash or EPS are accepted at any HKU SPACE Enrolment Centres.


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. 

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.


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 aubmit 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.
  7. Classes are expected to be held at HKU SPACE learning centers. The health and safety of our students is our top priority. If the situation in Hong Kong requires, HKU SPACE reserves the right to move some classes to other locations, including online teaching platforms.
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