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Postgraduate Diploma in Corporate Compliance
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Course Code
AC173A
Application Code
2455-AC173A
Postgraduate Diploma in Corporate Compliance
QF Level: 6 QR Registration No.: 14/003330/L6 QR Registration Validity Period: 01 Oct 2014 - on-going
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Credit
60
Study mode
Full-time
Start Date
To be advised
Duration
12 months to 36 months
Language
English
Course Fee
Course Fee : HK$120,000 (non-refundable and study materials included)
(*Course Fees are subject to change without prior notice)
Enquiries
2867 8409 / 2867 8474
2858 4750 / 2861 0278
pgdccft@hkuspace.hku.hk
How to Apply
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The Postgraduate Diploma, commonly referred to as a “研究生文凭” in Mainland China, is a qualification awarded by higher education institutions in former Commonwealth countries or regions (such as the United Kingdom, Canada, Australia, New Zealand, Singapore, Ireland, and Hong Kong SAR). It represents a higher level of study pursued after obtaining a bachelor's degree.

 Generally speaking, Master's degree programmes emphasize academic scholarship, while Postgraduate Diploma programmes (or “研究生文凭” as commonly known in Mainland China) focus on developing professional application skills. Postgraduate Diplomas carry academic credits, and holders may apply for credit exemptions when enrolling in programmes in other countries or regions (if applicable). However, the extent of credit exemption depends on various factors and is ultimately determined by the university offering the programme.

Postgraduate programmes require students from outside Hong Kong to apply for a study visa before the course starts. For full details, please visit the Study Visa page. For details about the possibility to stay and work in Hong Kong after graduating from a full-time postgraduate programme, please visit the IANG Visa page.

How to Apply

Highlights

The Programme aims to provide students with a coherent, relevant and practical programme of knowledge in compliance and prepare them for a career in compliance and related sectors.

 

The Programme aims to:

1. equip students with the legal framework, anti-money laundering ordinance and listing regulations applicable to listed corporations;

2. enable students to enhance corporate governance in listed and private companies by internal control incorporated with big data and AI application; and

3. equips students with knowledge of local and international standards in ESG reporting.

 

 

Programme Details

On completion of six modules, students should be able to

 

1.   evaluate the implications of the securities and futures regulations, the listing rules and regulations and comply with them in administering and operating business entities ;

2.   apply internal control concepts and evaluate the impact of Big data and AI to legal and listing compliances of corporations ;

3.   review and uphold an appropriate corporate governance framework and prevent money laundering ; and

4.   report using the appropriate guidelines and apply relevant skills in analysing material ESG and sustainability issues in companies .

Programme Structure

The programme consists of six modules (two core modules plus four elective modules), duration of each ranges from 33 to 36 contact hours.

  • Internal Controls - Concepts and Issues
  • Corporate Governance (core)
  • Listing Rules and Regulations
  • Securities and Futures Regulations and Practices (core)
  • Anti-money Laundering - practices and issues 
  • Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions
  • Impact of Artificial Intelligence and Big Data on Compliance and Risk Management
  • Environmental, Social and Governance Reporting

All the modules such as internal controls, listing and SFC regulations offered in tandem with each other will deliver a well-structured and comprehensive coverage of corporate compliance. The main focus of this programme is its emphasis upon the importance of compliance issues in the increasingly stringent regulatory environment.

Common Enrichment Modules (CEM)

In addition to the credit-bearing modules, students have the unique opportunity to engage in non-credit bearing Common Enrichment Modules (CEM) alongside peers from other Postgraduate Diploma (PgDip) programmes. These CEMs encompass a diverse range of subjects, including leadership development, communication skills, business and academic writing, and applications of AI and ESG. By participating in these modules, students can expand their knowledge and skillsets, gaining valuable learning experiences that will better prepare them for their future careers.

Programme Specific Activities

During the study period, students will have the opportunity to participate in programme-specific activities such as field trips and career talks,  all tailored to their individual needs. These activities are designed to foster stronger connections with the industry and provide students with invaluable hands-on experiences in the real business world. This exposure will not only help students set goals that align with their interests and aspirations but also facilitate their future career plans, ensuring they are well-prepared for their professional journeys.

Tutor's Profile

Listing Rules and Regulations - Dr Gary Leung (CA; ICSA) 

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 , lecturing on financial reporting and financial management courses since  2000.

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Corporate Governance - Mr. David Roper, BSc, MBA, LLM (Chinese Business Law), FCIM
David has over 20 years of senior management positions in large corporations i.e. Jardine Matheson, New World Telecom and Octopus Rewards Limited and he is keen to share his successful experience in ethics and governance perspectives with students.

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Internal Controls - Concepts & Issues / Corporate Governance - Mr. Patrick Rozario (CPA (Aust); CISA; IIA)

Mr. Patrick A Rozario is the 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 years of 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. 

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Securities and Futures Regulations and Practices - Mr. Albert Poon

Mr. Albert Poon is a qualified accountant with over 25 years of solid experience in the accounting and finance areas. He held senior positions in HK-listed companies and the SFC-licenced corporations. Also, he was a workshop facilitator and exam marker for the HKICPA.

 Albert has been teaching professional accounting examination courses and postgraduate diploma courses in various tertiary institutions for more than 20 years.

 

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Anti-Money Laundering – Practices and Issues / Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions - 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 the Asia Pacific region. Before moving to the financial industry, he had served the Independent Commission Against Corruption of Hong Kong for 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 a 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 the Asia Pacific technology audit in a Top-tier US investment bank. He holds a Master of Science degree.

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Internal Controls - Concepts and Issues​ - Ms. Loretta Lee, FAIA, CPA, MA in International Accounting

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

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Environmental, Social and Governance Reporting​​ - Ms Sandy Chan, BSc, PhD

Ms. Sandy Chan is currently the Environmental Consultant at Ramboll Hong Kong Limited. She is responsible for engaging ESG/Sustainability disclosure projects, including benchmarking and gap analysis, stakeholder engagement and interviews, data analysis, and report drafting. She is also responsible for providing sustainability advisory and ESG-related risk management services, and for creating policies and guidelines related to sustainability programs. She assists in preparing pitch assignments and engaging potential clients

ASSESSMENT

Assessment for all modules is based on continuous assessment and final examination. The continuous assessment includes written assignments (case study, essay, or report), individual project, and presentation. The overall passing mark is 50%.  (**Students are required to pass both the continuous assessment (50%)  and the final examination (50%) in order to pass a module.**)

AWARD

 On successful completion of six modules (two core modules plus four elective modules) with attendance no less than 70%, students will be awarded within the HKU system through HKU SPACE a “Postgraduate Diploma in Corporate Compliance" of 60 credits. (**Students are required to pass both continuous assessment (50%)  and the final examination (50%) in order to pass a module.**)

 

Application Code 2455-AC173A -

Fee

Application Fee

HK$600

Course Fee
  • Course Fee : HK$120,000 (non-refundable and study materials included)
    (*Course Fees are subject to change without prior notice)

Entry Requirements

Applicants shall hold a bachelor's degree awarded by a recognised 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:

i. an overall band of 6.0 or above with no subtests lower than 5.5 in the IELTS; or

ii. 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

iii. HKALE Use of English at Grade E or above; or

iv. HKDSE Examination English Language at Level 3 or above; or

v. other equivalent qualifications.

Applicants with other qualifications will be considered on individual merit.

Applicants are required to have 1 to 2 years work experience related to anti-money laundering if they would like to take the elective module “Anti-money Laundering – Cryptocurrency, Data Analytics and Financial Crime Sanctions”.

Apply

Application Form Download Application Form

Enrolment Method
Payment Method
1. Cash, EPS, WeChat Pay Or Alipay

Course fees can be paid by cash, EPS, WeChat Pay or Alipay 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 specify the programme 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 personal information and payment sent by mail.
3. VISA/Mastercard

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

Online application / enrolment is offered for most open admission courses (enrolled on first come, first served basis) and selected award-bearing programmes. Application fees and course fees of these programmes/courses can be settled by using "PPS by Internet" (not available via mobile phones), VISA or Mastercard. In addition to the aforesaid online payment channels, new and continuing students of award-bearing programmes with available online service, they may also pay their course fees by Online WeChat Pay, Online Alipay or Faster Payment System (FPS). Please refer to Enrolment Methods - Online Enrolment  for details.

Notes

  • If the programme/course is starting within five working days, application by post is not recommended to avoid any delays. Applicants are advised to enrol in person at HKU SPACE Enrolment Centres and avoid making cheque payment under this circumstance.

  • 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, WeChat Pay, Alipay, cheque, FPS or PPS by Internet will be reimbursed by a cheque, and fees paid by credit card will be reimbursed to the credit card account used for payment. 

  • 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.
  • Fees and places on courses cannot be transferrable 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 each approved transfer.
  • HKU SPACE will not be responsible for any loss of payment, receipt, or personal information sent by mail.
  • For payment certification, 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.
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