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Accounting & Finance FinTech and Financial Analytics

Postgraduate Diploma in FinTech and Legal Regulations
金融科技及法規深造文憑

CEF Reimbursable Course (selected modules only)

CEF Reimbursable Course (selected modules only)

Course Code
FN078A
Application Code
2270-FN078A

Credit
60
Study mode
Part-time
Start Date
10 Feb 2025 (Mon)
Next intake(s)
Mar 2025
Duration
12 months to 24 months
Language
English
Course Fee
Module fee: $11,000 (course fees are subject to change without prior notice)
2 installment-:1st- three modules: $33,000 and 2nd- three modules: $33,000
Deadline on 27 Jan 2025 (Mon)
Enquiries
2867 8331 / 2520 4617
2861 0278
Apply Now

Today and Upcoming Events

02
Dec 2024
(Mon)

Web3 and Blockchain - Session IX (2 Dec 2024)

Join us for an exhilarating online talk show titled "Web3 and Blockchain IX". This session is designed to take you on a journey through the transformative landscape of blockchain technology, which is at the heart of a decentralized digital ecosystem—a significant leap from the interactive platforms of Web2. Bitcoin ETF Approval by the SEC: The crypto community is abuzz with the news that the U.S. Securities and Exchange Commission (SEC) has given the green light to a Bitcoin ETF. This approval is expected to drive significant institutional investment into the cryptocurrency market, potentially boosting Bitcoin's price and bringing it further into the financial mainstream. Hong Kong's Push for Virtual Asset Regulations: In a recent move, Hong Kong has unveiled a comprehensive regulatory framework for virtual assets, aiming to bolster investor protection and foster innovation. The new guidelines provide clear rules for cryptocurrency exchanges and digital asset service providers, signaling Hong Kong's commitment to becoming a leading hub for blockchain and fintech development. China's Digital Yuan Gains Traction: China's central bank digital currency, the digital yuan, is gaining significant traction as more businesses and consumers adopt it for everyday transactions. This development is seen as a major step towards mainstream acceptance of digital currencies and is influencing global financial systems to consider their own digital currency initiatives. Hong Kong Steps Boldly into the Cryptocurrency Spotlight: In an exciting development, Hong Kong has given initial approval to its first bitcoin and ether spot ETFs. This pioneering move paves the way for a broader acceptance of cryptocurrencies within the region’s mainstream financial systems, underscoring a significant shift towards more regulated and accessible digital asset investments. Bitcoin Halving Event: The crypto community is abuzz as the Bitcoin halving is done; this is a critical event that historically triggers a surge in Bitcoin's price by reducing the reward for mining new blocks by half. This anticipated change is stirring discussions about potential impacts on market dynamics and investment strategies. Innovative Regulatory Sandbox by HKMA: In a stride towards fostering innovation while ensuring security, the Hong Kong Monetary Authority (HKMA) is set to introduce a "sandbox" for entities interested in issuing stablecoins. This initiative will allow participants to test their business models and risk management systems under manageable conditions, enhancing investor protection and promoting responsible business practices in the digital currency sphere. Join Our Captivating Session to delve deeper into the essence of Web3 and blockchain technologies with us. Discover how these advancements are reshaping the internet and what they mean for the future of finance, privacy, and online interaction. This is more than just a talk – it's an opportunity to be part of the next digital revolution. Register now and be part of this transformative journey into Web 3.0. Language: Cantonese (Supplemented with English)  

Accept New Application for Feb 2025 Intake! 
Confirmed launch for the Module 3: Machine Learning for Financial Analytics in Jan 2025 and Module 1: FinTech: Law and Regulation in Feb 25!

Highlights

This programme aims to impart inter-disciplinary knowledge of FinTech and legal regulations to students who are interested in the latest applications of FinTech and related legal issues. It examines contemporary elements and issues of FinTech and applies computational tools to finance and investment through practical workshops in the computer laboratory. The programme illustrates the applications of AI, RegTech, blockchain and robo advisory as well as explains the regulatory framework and statutory compliance.

FTLR

Programme Details

Programme Intended Learning Outcomes:

On completion of the programme, students should be able to:
1. examine legal and regulatory frameworks in relation to FinTech; 
2. discuss the applications of FinTech and RegTech in finance and investment and examine their related legal regulations and statutory compliance issues;
3. use computational tools to illustrate the applications of FinTech and apply AI algorithms for finance and investment;
4. examine RegTech and robo advisory for investment and financial applications; 
5. analyse financial data and perform financial analytics and portfolio management.

Programme Structure
  • Module 1: FinTech: Law and Regulation (30 hours)
  • Module 2: AI and Financial Computing (42 hours)
  • Module 3: Machine Learning for Financial Analytics (33 hours)
  • Module 4: Regulatory Framework of Blockchain and Digital Currency (30 hours)
  • Module 5: RegTech Applications in Finance (33 hours)
  • Module 6: Robo Advisory and Portfolio Management (42 hours)

Award:

Students who complete all six modules with over 70% attendance and pass all individual assignments and group presentations will be awarded the Postgraduate Diploma in FinTech and Legal Regulations within the HKU system through HKU SPACE.

Application Code 2270-FN078A Apply Online Now
Apply Online Now

Modules

Module 1: FinTech: Law and Regulation
  • Introduction to the regulatory framework and compliance issues for banking and securities investments
  • The evolving relationship between FinTechs, regulators, and traditional financial institutions
  • Banking regulations and policies in Hong Kong and overseas
  • Blockchain, data privacy and security
  • Regulatory and legal issues around FinTech
  • Legal compliance of Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT)
  • Legal issues and policies for wealth management under WealthTech and InsurTech
  • RegTech, SupTech, LegalTech and the future of compliance

Assessment: Written assignment + One group project and group report

 

Module 2: AI and Financial Computing
  • Principles of finance
  • Overview of AI in finance
  • Introduction to Python programming
  • Mathematical and computational methods for finance

Assessment: Two assignments  + One group project and group report

 

Module 3: Machine Learning for Financial Analytics
  • Introduction to machine learning and financial analytics
  • Machine learning and algorithms
  • Financial modelling and financial analytics

Assessment: Two assignments  + One group project and group report

 

Module 4: Regulatory Framework of Blockchain and Digital Currency
  • Introduction to blockchains and digital currencies
  • Introduction to smart contracts and governance design
  • Regulation of finance and securities markets in the age of blockchain
  • Cryptoassets, Initial Coin Offerings (ICOs) and their regulatory framework
  • Digital identity and privacy
  • The intersection of blockchain technologies with existing legal frameworks
  • Legal services use-cases for blockchains and digital currencies

Assessment: Written assignment + One group project  and group report 

 

Module 5: RegTech Applications in Finance
  • Introduction to Regulatory Technology (RegTech)
  • RegTech for Financial Institutions in Hong Kong​
  • Innovative technology around RegTech
  • Capabilities and applications of RegTech in banking and finance

Assessment: Two assignments  + One group project and group report

 

Module 6: Robo Advisory and Portfolio Management
  • Essentials of Robo Advisory and Automated Investment
  • Introduction to portfolio construction
  • Asset allocation and portfolio management

Assessment: Two assignments  + One group project and group report

 

Teachers
 

Mr Knut Fournier
Mr. Fournier is a US-qualified lawyer and experienced law professional. He worked in competition law compliance in London, before moving in-house. He specialises in the media and technology sectors and worked on complex e-commerce, consumer protection, and payment regulation matters. He is now the APAC Head of Legal for StubHub, the ticketing company. Knut published extensively on competition law and technology. He taught law at the City University of Hong Kong, and Shue Yan University.

Mr Clive Yip
Mr. Yip is a practitioner in Data Analytics.  He has 10 years of experience in both Big 4 consulting firms and multinational companies.  He is currently working as a Senior Data Analytics Consultant in a leading insurance company, using Python, SQL, and other Big Data technologies to analyse and monitor any non-compliance or fraudulent activities.  He has a Master’s degree in Information Technology from HKUST and a Bachelor’s degree from the University of Southern California.  Before entering the data analytics field, he worked as a financial auditor at Ernst and Young and is a Certified Public Accountant (CPA) in Hong Kong and Canada.

Mr Hong Lin
Mr. Lin has fruitful experience in Fintech development and digital transformation across retail and institutional businesses in Citigroup. Over the past three years, Mr. Lin has acted as an innovator by promoting big data analysis and managing a series of automation projects, covering the full process from streamlining to solution delivery with Automation Anywhere, Python, and VBA. His primary task has recently been to digitalize the business risk management for the bank’s prime brokerage business with data and automation technologies.
Mr. Lin started his career journey as a business intelligence engineer focusing on Fintech solution development and sales opportunities discovery thru data analysis. In 2017, he engaged in an AI Financial Advisory development by backward engineering trading strategies and analyzing financial news with Natural Language Processing techniques (NLP) in Ping An Securities. In 2018, Mr. Lin led a market research project to optimize product lines by analyzing more than 100,000 lines of customer reviews on the Internet with web-scraping and NLP. 
Mr. Lin graduated from the University of California, Davis with a Bachelor of Science degree in Managerial Economics Development under Trade and Development of Agricultural Commodities, and from the Hong Kong University of Science and Technology with a Master of Science degree in Business Analytics.

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

Mr Joshua Chu 
Mr. Chu is the Chief Risk Officer at Coinllectibles™, the first publicly traded blockchain Fusion DOTs™ technology company in the US OTC Markets. He is also a Litigation Solicitor qualified to practice in Hong Kong. Before becoming a lawyer, Mr. Chu worked in the healthcare industry serving as the IT department head at a private hospital and overseeing their procurement operations.
Aside from his roles as a Chief Risk Officer and Lawyer, Mr. Chu is currently also a Senior Consultant with Prosynergy, a regulatory consulting firm that had been founded by ex-SFC Regulators as well as a management consultant for the Korean Blockchain Centre.

Mr Ken Tsoi
Ken has over 10 years of full-time working experience across start-ups, data software companies, retail banking, insurance companies, listed co., and large MNC FI firms in areas of AI, business intelligence, big data and machine learning. He is currently working in a Hang Seng Index listed company as a Senior Data Scientist in charging of data projects which are related on Predictive Analytics, Business Automation and Neural Network. He has been teaching and coaching on different institutes and schools over the decade and is a professional on communicating abstract data concept and theory to layman and student in an efficient and effective way. He holds Bachelor (Hon) of Statistics and Operation Research in HKBU and Master of Statistics and Risk Management in HKU. He is a certified FRM (Financial Risk Management) Professional, Certified Statistical Business Analyst; Certified Predictive Modeler: Enterprise Miner; Certified Advanced Programmer; Certified Base Programmer; and Certified System Platform Administrator, all 5 Credentials were approved by SAS Institute.

Dr Simon Yiu
Simon, IT Department Head of a financial institution in Hong Kong, has handled many FinTech initiatives and projects, such as Algo trading, finance big data analytics, Robo-advisors and so on. Before that, he also worked for AI, and Machine learning startup as co-founder and CTO which located at a Hong Kong Science Park and participated at the University organized Entrepreneurship Center in 2010, focusing on AI, Machine Learning, Big Data analytics and Natural language processing. Furthermore, he has hands-on programming experiences in FinTech areas for over 10 years. Simon earned a Doctoral Degree in Business Administration from the City University of Hong Kong and a Master Degree in Data Science and Business Statistics from The Chinese University of Hong Kong.

Fee

Application Fee

HK$150 (Non-refundable)

Course Fee
  • Module fee: $11,000 (course fees are subject to change without prior notice)
    2 installment-:1st- three modules: $33,000 and 2nd- three modules: $33,000

Entry Requirements

Applicants shall hold a bachelor’s degree in quantitative or computational areas (e.g., economics, finance, mathematics, statistics, science, computer science, IT, engineering) awarded by a recognized institution or equivalent.

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. equivalent qualifications. 

Applicants who hold the Advanced Diploma for Legal Executives (Graduate Level) awarded within the HKU system through HKU SPACE would be eligible for entry.
Applicants without undergraduate qualifications, but have substantial work experience will be considered on individual merit.

Applicants who do not have a background in quantitative or computational areas are required to take the Certificate for Module (Quantitative Methods in Finance) as the bridging course. They must complete and pass the module before the commencement of the programme.

CEF

  • The CEF Institution Code of HKU SPACE is 100
CEF Courses
AI and Financial Computing (Module from Postgraduate Diploma in FinTech and Legal Regulations)
COURSE CODE 33Z138909 FEES $11,000 ENQUIRY 2867-8331
Machine Learning for Financial Analytics (Module from Postgraduate Diploma in FinTech and Legal Regulations)
COURSE CODE 33Z138917 FEES $11,000 ENQUIRY 2867-8331
RegTech Applications in Finance (Module from Postgraduate Diploma in FinTech and Legal Regulations)
COURSE CODE 33Z138925 FEES $11,000 ENQUIRY 2867-8331
Robo Advisory and Portfolio Management (Module from Postgraduate Diploma in FinTech and Legal Regulations)
COURSE CODE 33Z138933 FEES $11,000 ENQUIRY 2867-8331
FinTech: Law and Regulations (Module from Postgraduate Diploma in FinTech and Legal Regulations)
COURSE CODE 33Z141306 FEES HK$11,000 ENQUIRY 2520-4617
Regulatory Framework of Blockchain and Digital Currency (Module from Postgraduate Diploma in FinTech and Legal Regulations)
COURSE CODE 33Z141314 FEES HK$11,000 ENQUIRY 2520-4617
Continuing Education Fund Reimbursable Course 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 FinTech and Legal Regulations

  • This course is recognised under the Qualifications Framework (QF Level [6])

Apply

Online Application Apply Now

Application Form 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.

Partner Details

HKDAS

Hong Kong Digital Asset Society (HKDAS) is led by a volunteer group of members who care about the future of financial technology in Hong Kong, Greater China and Asia. We are not-for-profit and have an independent structure based on our three pillars of values:  trust, transparency, and governance. We aim to develop and promote the four areas of the Digital Asset industry in Hong Kong.

Education - Provide lectures, mentoring services, workshops and necessary training to educate the public and students on the latest development in digital assets and blockchain technology.

Incubation - Support local entrepreneurs who try to build start-ups in the digital asset space. We help incubate and accelerate their growth by providing necessary training, support and resources.

Opportunity - Provide opportunities like gap year placement, internship and graduate trainee programme to grow and equip young talents and leaders and help them be ready for this evolving and innovative environment.

Integration - Encourage integrations and collaborations with regulators and industrial organizations locally and overseas. Increase investors’ confidence by promoting agreement on the industrial standards for products, practices or operations in the field.