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Accounting & Finance Finance and Compliance

Executive Certificate in Financial Law and Ethics

Course Code
Application Code
Study mode
Start Date
To be advised
Next intake(s)
3 months
Course Fee
Application $150 (non-refundable)

Module 1 (15 hrs) $3,750
Financial Law and Regulations 

Module 2 (15 hrs) $3,750
Ethics and Professional Practice in Finance
2867 8322 / 2520 4628
2861 0278
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The programme takes an integrated approach to financial law and ethics in business and finance. It considers how legal principles and ethical considerations are applied in the context of real case studies. The programme offers an overview of financial law and ethics in financial market transactions in capital markets and asset management. It also analyses the efficacy of the organizational requirements which companies are obliged to have in place to prevent unethical conduct from happening.

About the Partner - CFA Institute

CFA Institute is the global association of investment professionals that sets the standard for professional excellence and credentials. The organisation is a champion of ethical behaviour in investment markets and a respected source of knowledge in the global financial community. Our aim is to create an environment where investors’ interests come first, markets function at their best, and economies grow. There are more than 170,000 Chartered Financial Analyst (CFA) holders worldwide in 162 markets. CFA Institute has nine offices worldwide and there are 158 local member societies.

The mission of CFA Institute is served by generating value for core investment management professionals and engaging with the core investment management industry to advance ethics, market integrity and professional standards of practice.

CFA Institute seeks to set professional standards for investment management practitioners and broadly engage other finance professionals through their interest and interactions with the investment management industry. Improving outcomes for investors advances our social mission and benefits members through greater demand for educated and ethical investment management professionals.

A Chartered Financial Analyst (CFA®) charter is a designation given to those who have completed the CFA® Programme and completed acceptable work experience requirements. The CFA Programme is a three-part exam that tests the fundamentals of investment tools, valuing assets, portfolio management, and wealth planning. The CFA Program is typically completed by those with backgrounds in finance, accounting, economics, or business. CFA charterholders earn the right to use the CFA designation after program completion and acceptance by CFA Institute. CFA charterholders are qualified to work in senior and executive positions in investment management, risk management, asset management, and more.

Education is the foundation of professional competence. CFA Institute develops future investment management professionals through credentialing programmes that require the application of technical knowledge and an appropriate ethical framework to guide decision making.

For our Executive Certificate in Financial Law and Ethics in collaboration with CFA Institute, it is expected to recruit 25 students per intake. This programme can fulfil CFA members’ continuing professional development (CPD) requirement. Online learning supports will be provided by the School and CFA Institute. Thematic webinars in finance and ethics will be offered by CFA Institute for our students. CFA Institute will follow our quality assurance arrangements for collaborative provision.

Programme Details

Assessment Criteria

Each module will be assessed by one individual written assignment. All assessments will be in English.


Attendance Requirement

Student are required to achieve at least 70% in attendance for each module to complete the whole programme.



Application Code 2080-EP178A Apply Online Now
Apply Online Now



Module 1 – Financial Law and Regulations (15 hours)
  • Introduction to Hong Kong’s financial markets and financial regulatory structure;
  • The role of regulation and compliance in the financial services industry and the rationale for financial regulations and types of regulation;
  • International Financial Markets: Structures, Players and Institutions;
  • International Monetary System and International Monetary Law;
  • Principles of financial law in capital markets;
  • Regulation of financial products;
  • Market misconduct, market failure and manipulation;
  • The Financial Crisis, Systemic Stability in Finance;
  • The Future of Finance: The Impact of Fintech, AI and Crypto on Financial Services regulation.


Module 2 – Ethics and Professional Practice in Finance (15 hours)
  • The need for ethics in finance
  • Code of ethics and standards of professional conduct
  • Corporate governance
  • Ethical decision-making framework
  • Agents, Fiduciaries and Professionals
  • CFA Institute Codes of Ethics and Standards:
  • Ethics and professional practice in investment case studies
  • Ethics and professional practice in financial markets case studies
  • Ethics and professional practice in financial management case studies

Class Details

2023  Intake - 


Module 1 – Financial Law and Regulations (15 hours)

To be confirmed 


Module 2 – Ethics and Professional Practice in Finance (15 hours)

To be confirmed


Application Fee


Course Fee
  • Application $150 (non-refundable)

    Module 1 (15 hrs) $3,750
    Financial Law and Regulations 

    Module 2 (15 hrs) $3,750
    Ethics and Professional Practice in Finance

Entry Requirements

Applicants shall hold:

  1. a bachelor’s degree awarded by a recognized University or equivalent; or
  2. an Associate Degree/ a Higher Diploma or equivalent, and have at least 2 years of relevant work experience.

Applicants with other qualifications will be considered on individual merits.


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 the 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 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 (course 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, continuing students of award-bearing programmes, if their programmes offer online service, may also pay their course fees by Online WeChat Pay, Online Alipay and Faster Payment System (FPS). Please refer to Enrolment Methods - Online Enrolment  for details.


  • 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 Enrolement Centres and avoid making cheque payment under this circustance.
  • 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 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.
  • 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.
  • Receipts will be issued for fees paid but HKU SPACE will not be repsonsible for any loss of receipt 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.