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BusinessAccounting and Corporate Governance

Postgraduate Diploma in Bank and Insurance Compliance

Course Code
Application Code

Study mode
Start Date
To be advised
Next intake(s)
1 year to 3 years
English supplemented with Cantonese
How to Apply
Deadline on 03 Oct 2017 (Tue)
2867 8409 / 2867 8314
2858 4750
Good News!

Moreover, Graduates of Postgraduate Diploma in Bank and Insurance Compliance could claim 3 exemptions from the Postgraduate Diploma in Corporate Compliance!!

One-on-One consultation with Programme Leader, every Thursday, 7pm.
New students, alumni: if you need any information about the programme or market update, please come and meet our programme leader, Dr. Olivia LUI --- RSVP @ 2867-8409

Pioneer and Comprehensive programme in Bank and Insurance Compliance Great value lies in solving problem around the Grey Area! This is a unique programme that aims to provide students with a coherent, relevant and practical programme of knowledge in bank and insurance compliance and prepare them for a career in these and related sectors. Real-life cases will be discussed, drawing reference from standards and rules highlighting the non-compliance issues involved and grey areas. Real-life examples and updated cases will be discussed during the class. 

Job opportunities

Citi, Standard Chartered Bank, JP chase Morgan and BDO LIMITED have opportunities for you!
Quoted from Indeed. Com – hong kong job search


Programme Objective

The programme aims to provide students with a coherent, relevant and practical programme to equip them for a career in compliance and related sectors.  It has a systematic body of theory and knowledge on compliance but at the same time it is designed to be very practical and problem based oriented.  The main focus of this programme is its emphasis upon the importance of compliance issues in the increasingly stringent regulatory environment.

The programme is designed to equip students with contemporary accounting and financial reporting standards which need to be complied with in order to provide true and fair financial information for business decision making; the legal framework to enhance the corporate governance in listed and private companies.

Programme Structure

This programme offers seven modules in three intakes; Feb, Jun and Oct each year, duration of each range from 33 to 36 contact hours. 

  1. Financial Reporting Compliance
  2. Internal Controls - Concepts and Issues
  3. Business and Company Law
  4. Corporate Governance
  5. Compliance in Banking Sector (core)
  6. Compliance in Insurance Sector (core)
  7. Anti-money Laundering-practices and issues

The programme provides  students with knowledge relating to regulatory environment as well as governance from strategic and operational perspectives.  Students would be updated with the most contemporary knowledge and development in bank and insurance compliance; accounting and financial reporting standards which need to be complied with in order to provide true and fair financial information for business decision making; the legal framework to enhance the corporate governance in listed and private companies.

Graduates would be able to better manage risk and comply with rules with higher standard and greater confidence.


Upon successful completion of two core modules and any other four elective modules, students will be awarded with Postgraduate Diploma in Bank and Insurance Compliance



Dr Gary Leung (CA; ICSA)

Financial Reporting Compliance / Listing Rules and Regulations

Dr Leung is a chartered accountant and chartered secretary with over 20 years of working experience in accounting, auditing and financial management, particularly in IPO area. During his leisure time, Gary acts as a visiting associate professor and lecturer in universities in Hong Kong in lecturing financial reporting and financial management courses since 2000.


Mr Patrick Rozario (CPA (Aust); CISA; IIA)

Internal Controls - Concepts & Issues / Corporate Governance

Mr Patrick A Rozario is a Managing Director of Moore Stephens and heads up the firm's Advisory Services to help our clients manage their risks and enhance their business operations.

Patrick Rozario has over 25 year experiences working in the area of governance and risk advisory. Patrick managed various internal audits, corporate governance, Sarbanes-Oxley, internal control and information technology risk assurance advisory engagements for clients across different industries including banking, insurance, manufacturing, telecommunication and government in Hong Kong and China.  Patrick is also the Chairman of the organising committee for the HKICPA Best Corporate Governance Disclosure Awards 2013, 2014 and 2015.


Mr. K C Ching

Anti-money Laundering

Mr. Ching has over twenty years banking experience in corporate banking and syndicated finance areas and worked in a number of international banks: Mizuho Corporate Bank, Bank of China (Hong Kong) Limited, HSBC and ABN AMRO Bank N.V. Mr. Ching holds an MBA degree and a B.Sc. degree in Mechanical Engineering as well as passed the exams of CFA and FRM.



Compliance in Insurance Sector

Mr. Yiu was an Associate Director of one of the Big-4 firms and is currently working for an internal audit function of a leading bank in Hong Kong. He has extensive external and internal audit experience and served as a lecturer of various academic programmes and professional courses in the past 7 years.


Business and Company Law - for claiming exemption, students need to study both business law and company law.  For company law, study needs to be on the New Company Ordinance which came into force on 3 March 2014.

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

Coming Module offered in Oct 2017 intake:

Module: Compliance in Insurance Sector

Date: 16 Oct, 2017

Date of Exam: 29 Jan, 2018

Time: 7:00 - 10:00pm

Venue: ADC/UNC


Coming Modules offered in Feb 2018 intake:

  • Module 2: Internal Controls - Concepts and Issues
  • Module 3: Business and Company Law
  • Module 5: Compliance in Banking Sector(core)

Coming Modules offered in June 2018 intake:

  • Module 1: Finacncial Reporting Compliance
  • Module 4: Corporate Compliance (core)
  • Module 7: Anti-Money Laundering -Practices and Issues

Either weekday evenings, 7:00 - 10:00 pm or, Saturday afternoons, 2:30 - 5:00 pm, or Saturday evenings, 6:30 - 9:30 pm, or Sunday afternoon, 2:00 - 5:00 pm.









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Applicants shall:

 a)  hold a bachelor’s degree in any discipline awarded by a recognized university;


 b)  provide evidence of English proficiency (if the degree or equivalent qualification is from an institution where the language of teaching and assessment is not English) such as:

  1. an overall band of 6.0 with no subtests lower than 5.5 in the IELTS;
  2. a score of 550 in the paper-based TOEFL,  or a score of 213 in the computer-based TOEFL, or a score of 80 in the internet-based TOEFL;
  3. HKALE Use of English at Grade E;
  4. other equivalent qualifications.

Applicants with other qualifications will be considered on individual merit.

Application Fee

HK$200 (non-refundable)

Course Fee
  • HK$7000 per module

Application Form Application Form

Payment Method
1. Cash or EPS

Course fees can be paid by cash or EPS at any HKU SPACE enrolment counters.

2. Cheque or bank draft

Course fees can also be paid by crossed cheque or bank draft made payable to “HKU SPACE”. Please specify theprogramme 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 payment sent by mail.
3. VISA/MasterCard

Applicants may also pay the course fee by VISA or MasterCard, including the “HKU SPACE MasterCard”, at anyHKU SPACE enrolment centres. Holders of the HKU SPACE MasterCard can enjoy a 10-month interest-freeinstalment 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

The course fees of all open admission courses (course enrolled on first come, first served basis) and selected award-bearing programmes can be settled by using PPS via the Internet. Applicants may also pay the relevant course fees by VISA or MasterCard online. 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 PPS (for online payment only) will normally be reimbursed by a cheque, and fees paid by credit card will normally be reimbursed to the payment cardholder’s credit card account.

  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 team for details.
  4. 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 HK$120 will be levied on approved transfers.
  5. Receipts will be issued for fees paid but HKU SPACE will not be responsible for any loss of receipt sent by mail.
  6. For additional copies of receipts, please send a stamped, self-addressed envelope with a completed form and a crossed cheque for HK$30 per copy made payable to ‘HKU SPACE’. Such copies will only normally be issued at the end of a course.