A unique programme that aims to provide students with a coherent, relevant and practical programme of knowledge in bank and insurance compliance and prepares them for a career in these and related sectors.   Real-life cases  and exampleswill be discussed, drawing reference from standards and rules highlighting the non-compliance issues involved and grey areas.   

All modules of the programme are CEF reimbursable.   
Extended non-means-tested loans Scheme (ENLS) from Government.
(ENLS Course Code: B00600351)

COMMENTS FROM OUR CURRENT STUDENTS!

風險和合規部門的需求及前景 – 前線員工都要識合規!

【風險和合規部門的需求及前景 – 前線員工都要識合規!】
羅兵咸永道的第六次《風險評估年度報告》顯示指出，由於合規需求日增，企業除了有專屬的風險和合規部門外，更多公司需要前線業務部門（如銷售團隊）在風險管理上也擔當一定的角色。 56%受訪的亞太區企業計劃在未來三年將風險管理擴大到第一道防線，全球回應率為 46%。
與時俱進，不懼淘汰的風險，即瀏覽：>https://goo.gl/amnRSe

【十年經驗Compliance，年薪可以過百萬？】
無論金融機構規模大小，招聘合規人手幾乎都是指定動作。 基本上受證監會或金管局規管的機構就必須遵守合規要求，故此不論大小金融機構近年皆對合規員工對才若渴。隨著經驗的累積，三至五年經驗的 seniors 月入三、四萬元亦非難事。能夠在合規界別屹立十年而不倒，有機會年薪過百萬。
Source: JobsDB ( https://bit.ly/3jF9v4m )

>#enterprise >#risk >#management >#accounting >#compliance >#insurance>#corporate

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.

 

Programme Structure

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

1. Internal Controls - Concepts and Issues
2. Compliance for Fintech and Insurtech 
3. Compliance in Banking Sector (core)
4. Compliance in Insurance Sector  (core)
5. Anti-money Laundering-practices and issues  OR  Anti-money Laundering-Cryptocurrency, Data Analytics and Financial Crime Sanctions
6. Impact of Artificial Intelligence and Big Data on Compliance and Risk Management

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 under the new technology landscape as well.  Graduates would be able to better manage risk and comply with rules with higher standard and greater confidence.

Award

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 of 60 credits. (**Students are required to pass both continuous assessment (50%)  and the final examination (50%) in order to pass a module.**)

 

TUTOR'S PROFILE

 Internal Controls - Concepts and Issues - Mr Patrick Rozario (CPA (Aust); CISA; IIA)

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  various internal audits, corporate governance, Sarbanes-Oxley, internal control and information technology risk assurance advisory engagements .  Patrick is also the Chairman of the organising committee for the HKICPA Best Corporate Governance Disclosure Awards 2013, 2014 and 2015.

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Compliance in Insurance Sector / Compliance for Fintech and Insurtech - Dr. Gary Yiu (DBA (SBS), MSc(CUHK), MSc(HKPU), CPA, CIA, CISA, CCEBS)

Mr. Yiu now heads up the risk management function of a clearing house in Hong Kong. He was Associate Director of one of the Big-4 firms and Assistant General Manager of an internal audit function of a note-issuing bank in Hong Kong. He has extensive risk management and audit experience and served as a lecturer in various academic programmes and professional courses in the past 9 years.

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Anti-Money Laundering – Practices and Issues - Mr. Albert Tang (Group Chief Risk & Compliance Officer and Manager In Charge  of various function of SFC)

Mr. Albert Tang has over 23 years of experience in Anti-Money Laundering/Counter Terrorist Finance control that covered the Law Enforcement, public sector, financial industry and fintech business.  He now oversees the Risk, Compliance and Internal control function of a Financial Fintech group and is responsible for the overall Group Corporate governance management, risk & compliance of the SFC supervision of asset investment, fintech business development with AI.  Previously, he played key person in Compliance role in Hong Kong based Insurance Institution and also worked in a Hong Kong Listed technology Companies, PCCW/HKT  supervised a team of compliance professionals in charge of all compliance-related activities across all financial service including Stored Value Facilities licenses, Virtual Bank, Insurance service, Money lending and FinTech business development and act as key contact with Hong Kong Monetary Authority.  

He has previously worked in various financial institutions, including banking, insurance and card payment operations across Asia Pacific region. Before moving to the financial industry, he had served the Independence Commission Against Corruption of Hong Kong over 7 years dedicated to fighting corruption through investigation. 

 

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Impact of Artificial Intelligence and Big Data on Compliance and Risk Management - Mr. F. W. Wan, BSc, MSc, CISA

Mr. Wan leads advisory practice across AI/RPA, Virtual Bank, Robo-Advisory and Digital Payment in an international consulting firm. Prior to joining the consulting sector, Mr. Wan was a regulator with primary focus on policy setting and issuing codes in relation to Regtech, Algo/Electronic Trading, Dark Pool and Robo-Advisory areas. Previously, he also played a lead role in driving Asia Pacific technology audit in a Top-tier US investment bank. He holds Master of Science degree.

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Loretta has over 17 years experience in performing financial audit and internal audit in both professional firms and listed companies in Hong Kong respectively. She has worked as senior positions of internal audit department for listed companies in Hong Kong. In addition, she has extensive experience in providing service for pre-IPO internal control review application, internal control review and other internal audit engagements as she had worked in consultancy firm and professional firm for over 6 years.

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Exemptions

• Maximum exemption is up to 50% of the number of modules studied.  The exemption application must be made in writing with supporting documents at the same time when submitting the application form for the programme. Application fee of each module exemption is HK$500  (Non-refundable). Those with exempted modules are required to pay a fee of HK$1,000.

 

FAQ

1. Could I get exemption of the following if I am an associate member of HKICS?

          Corporate Governance -  Yes

1. How can emeption fees be waived?

         Exemption fees are waived for Postgraduate Diploma in Corporate Compliance and Postgraduate Diploma in Enterprise Risk  Management

Application Code	2270-AC055A	Apply Online Now
Apply Online Now

Duration

• 33 to 36 hours per module
• 11 to 13 meeting(s)

Module offered in Feb 2025 intake:

 

Internal Controls – Concepts and Issues

Date: 03 February 2025 - 28 April 2025  (Monday) 

Time: 19:00-22:00

Venue: To be confirmed

 

Anti-money Laundering – Practices and Issues

Date: 06 February 2025 - 08 May 2025  (Thursday)  

Time: 19:00-22:00

Venue: To be confirmed

 

Compliance in Insurance Sector (core)

Date: 08 February 2025 - 10 May 2025  (Saturday)  

Time: 19:00-22:00

Venue: To be confirmed

*The date of examination is included in the above class period.

Modules will offered in FEBRUARY, MAY AND OCTOBER intake each year(tentatively):

Intake	Postgraduate Diploma in Corporate Compliance	Postgraduate Diploma in Bank and Insurance Compliance
February	Listing Rules and Regulations Practices	Compliance in Insurance Sector (core)
	Anti-money Laundering – Practices and Issues
	Internal Controls – Concepts and Issues
May	Impact of Artificial Intelligence and Big Data on Compliance and Risk Management
	Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions
	Securities and Futures Regulations and Practices (core)	Compliance in Banking Sector (core)
October	Environmental, Social and Governance Reporting	Compliance for Fintech and Insurtech
	Corporate Governance (core)

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

TENTATIVE SCHEDULE

2025 Feb Intake (Tentative)

Module Code	Module Name	Class Period	Time	Venue
ACCT6079	Internal Controls – Concepts and Issues	03 February 2025 - 28 April 2025  (Monday)	19:00-22:00	To be confirmed
FINA6162	Anti-money Laundering – Practices and Issues	06 February 2025 - 08 May 2025  (Thursday)	19:00-22:00	To be confirmed
ACCT6058	Compliance in Insurance Sector (core)	08 February 2025 - 10 May 2025  (Saturday)	19:00-22:00	To be confirmed

 

Application Fee

HK$200 (non-refundable)

Course Fee

• Course Fee : HK$7800 per module (Course Fees paid are not refundable and transferable if courses are successfully commenced in any one of HKU SPACE Learning Centers except as statutorily provided or under very exceptional circumstances)

Applicants shall hold a bachelor’s degree awarded by a recognized institution.

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.
 

Notes to applicants:

1. Applicants with relevant prior studies can apply for exemption,please complete the exemption form and furnish course outline.

• The CEF Institution Code of HKU SPACE is 100

CEF Courses
Impact of Artificial Intelligence and Big Data on Compliance and Risk Management (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 33Z108368	FEES $7,800	ENQUIRY 2867-8409
Internal Controls - Concepts and Issues (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 33Z149862	FEES $7,800	ENQUIRY 2867-8409
Compliance in Banking Sector (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 33Z149870	FEES $7,800	ENQUIRY 2867-8409
Compliance in Insurance Sector (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 33Z149889	FEES $7,800	ENQUIRY 2867-8409
Corporate Governance (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 33Z120643	FEES $7,000	ENQUIRY 2867-8409
Anti-money Laundering-practices and issues (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 33Z12066A	FEES $7,800	ENQUIRY 2867-8409
Compliance for Fintech and Insurtech (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 33Z134008	FEES $7,800	ENQUIRY 2867-8409
Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions (Module from Postgraduate Diploma in Bank and Insurance Compliance)
COURSE CODE 33Z140334	FEES $7,800	ENQUIRY 2867-8409

	Continuing Education Fund Reimbursable Course (selected modules only) Some modules of this course have been included in the list of reimbursable courses under the Continuing Education Fund.
	Postgraduate Diploma in Bank and Insurance Compliance This course is recognised under the Qualifications Framework (QF Level [6])

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