Finance and Compliance Workshop Series - HKU SPACE: Finance and Compliance courses
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Accounting & FinanceFinance and Compliance

Finance and Compliance Workshop Series

Course Code
Study mode
Start Date
29 Aug 2020 (Sat)
Next intake(s)
Aug 2020
4 months
Course Fee
HK$2,500 per module
HK$7,500 per programme
How to Apply
Deadline on 31 Jul 2020 (Fri)

This workshop aims to equip students with latest knowledge in compliance issues for professionals working in asset management companies and banking institutions. It focuses on satisfying the regulatory and compliance requirements as determined by the legal framework in Hong Kong as well as teaching state-of-the-art practices in managing key risks faced by bank and asset management companies. 

Workshop Outline

Workshop 1: Financial Regulations and Compliance      

1. Theoretical and applied aspects of the role of regulation and compliance in the financial services sector; Rationale for financial regulations and compliance; Type of regulation

2. Compliance principles; independence and conflicts of interest; resources and responsibilities; internal audit; cross border issues

3. Regulatory framework and process

4. Overview of regulation of Hong Kong financial industry

5. Supervision, controlled functions, customer due diligence

6. Scope of Securities and Futures Commission Ordinance (SFO); role and function of Securities and Futures Commission (SFC)

7. Regulation, licensing, registration and administration functions of SFC; Hong Kong Securities Institute (HKSI)

8. Hong Kong Exchange (HKEx)

9. Hong Kong Banking Ordinance and Hong Kong Monetary Authority (HKMA); role of HKMA in supervision of Hong Kong banking institutions

10. International banking standards and Basel capital accords

11. Principles of relevant banking laws and the Companies Ordinance

12. Market Misconduct; Market Misconduct Tribunal; improper trading practices, disclosure standards and compliance

13. Social responsibility and ethical issues

14. Anti-money laundering controls; terrorist financing; insider dealing & prevention of financial crime

15. Current issues of the Hong Kong financial regulations and compliance


Workshop 2: Compliance in Banking and Wealth Management   

1. Regulation under Hong Kong Monetary Authority – Banking Ordinance

2. Key sections of Banking Ordinance

3. Supervisory Approach (Risk-based supervisory approach + Outsourcing)

4. Code of Conduct

5. Statutory Guideline – Internal Control (include stress-testing); Capital Adequacy; Credit Risk Management; Liquidity Risk Management

6. Guidance Note – Operational Risk Management; Interest Rate Management; Technology Risk Management (include supervision of e-banking)

7. Compliance requirements in trade finance and RMB business

8. Statutory Guideline – Securities and leveraged foreign exchange business

9. Know your customer (KYC) and customer due diligence (CDD) compliance

10. Anti-Money Laundering(AML) compliance requirement in banking and wealth management

11. The role of Financial Action Task Force (FATF), IMF, European Commission and UN in AML

12. Statutory Guideline- Corporate Governance of Locally Incorporated Authorised Institutions

13. Guidance note – Credit Card Business; Reputation Risk Management and Wealth Management

14. Foreign Account Tax Compliance Act (FATCA)


Workshop 3: Compliance in Asset Management         

1. Regulatory requirements in asset management; SFC’s licensing and registration regime

2. Code of Conduct for Persons Licensed by or Registered with the SFC

3. Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the SFC

4. Personal Data (Privacy) Ordinance; Money laundering and terrorist financing in asset management

5. Back-Office Compliance

6. SWIFT over Bloomberg

7. Fund Manager Code of Conduct

8. Authorization of Collective Investment Schemes (“CISs”); Investment requirements for CISs; Ongoing requirements for CISs

9. SFC’s special requirements for asset management industry

10. SFC’s supervisory regime for trustees; custodians and investment companies

11. Authorization, investment and ongoing requirements for MPF products

12. Market misconduct and related offences under the Securities and Futures Ordinance

13. Case studies on malpractices and improper trading

* “Statement of Attendance” will be issued to students who have achieved at least 70% attendance for the workshop.


Aug 2020 Intake Schedule 

Venue: Causeway Bay/ Admiralty

Schedule is subject to change.**

1: Financial Regulations and Compliance 





29 Aug 2020


3:00 p.m. – 6:00 p.m.


5 Sep 2020


3:00 p.m. – 6:00 p.m.


12 Sep 2020


3:00 p.m. – 6:00 p.m.


19 Sep 2020


3:00 p.m. – 6:00 p.m.


26 Sep 2020


3:00 p.m. – 6:00 p.m.

2: Compliance in Banking and Wealth Management


3: Compliance in Asset Management


  • Approximately 4 months
    Lecture Hours: 15 hours per module
    Medium of Instruction: English
Course Fee
  • HK$2,500 per module
    HK$7,500 per programme

Application Form Download Application Form

Enrolment Method

1. Complete the application form.

2. Submit the application form with the following documents:

(a)  copy of HKID card / passport and visa (if applicable);

(b)  a crossed cheque / bank draft payable to “HKU SPACE” in respect of the course fee.

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

Applicants may also pay the course  fee by VISA or Master Card including "HKUSPACE Master Card" at any HKUSPACE enrolment Centre.

Payment Method


  1. Fees paid are not refundable except under very exceptional circumstances, subject to the School's discretion.
  2. 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 of the relevant subject area for details.
  3. Fees and places on courses cannot be transferred 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 $120 will be levied on approved transfers.
  4. Receipts will be issued for fees paid but HKU SPACE will not be responsible for any loss of receipt sent by mail.
  5. For additional copies of receipts, please send a stamped, self-addressed envelope with a completed form and a crossed cheque for $30 per copy made payable to "HKU SPACE". Such copies will normally only be issued at the end of a course.
  6. 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.