Certificate for Module in Advanced Operation Finance and Compliance
單元「實運金融與合規 (高級)」證書

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Basic Information Course Target & Features Course Duration & Structure Assessment & Award
Admission & Application      
Basic Information
 
Course Code 211-50402
Course Fee HK$12,800
Expected Commencement Date 29 April 2021 (Thursday) 
Application Deadline 1 week before course commencement
Medium of Instruction English supplemented with Cantonese, assessments will be delivered in English
Enquiries 3442 7423 / 3442 4723
Venue CityU SCOPE Learning Centre in Tsim Sha Tsui East (ChinaChem Golden Plaza)

(Classes may be conducted online in response to the development of the COVID-19 pandemic)

Email devin.lam@cityu.edu.hk
 
Course Target & Features

Course Target

  • Responsible Officers, Manager in charge, lawyer, accountant or equivalent who wants to pursue professional development opportunities in operational finance and compliance

Course Features

60 - 80% CEF reimbursable
  • 60 - 80% CEF reimbursable
Equip students with an understanding a comprehensive compliance framework and operational aspects of the regulated activities industry
  • Equip students with an understanding a comprehensive compliance framework and operational aspects of the regulated activities industry
Help students achieve a good balance in their career development
  • Help students achieve a good balance in their career development
A team of instructors in different specialization, eg. lawyer(s,) and accountant(s), ex-SFC senior officers etc.
  • A team of instructors in different specialization, eg. lawyer(s,) and accountant(s), ex-SFC senior officers etc.

Benefits / Special Features

  • The Institute of Compliance Officers of Hong Kong is a legal entity registered in Hong Kong in the form of company limited by guarantee. The primary aim of the Institute is to promote the compliance profession and the interests of compliance officers and to disseminate relevant information and knowledge to the compliance profession.
  • The course pitched at QF Level 5 is taught by a team of instructors consists mainly of experienced regulated activities practitioners (e.g. ex-SFC Officers, ROs) that possess professional qualifications.
  • The course bridges both theoretical and practical aspects of operation finance and compliance
  • Help students to systematically identify, manage and reduce risks in daily regulatory activities operations
 
Course Duration & Structure

Duration and Mode of Study

36 hours, 12 weeks (Thursday), 7-10 pm, Part-time  

Course Structure

1. Compliance Infrastructure 9 hours
2. Internal Control and Risk Management 6 hours
3. Global Trend of Compliance Issues 3 hours
4. Risk-Profiling and Suitability 3 hours
5. Securities and Futures (Financial Resources) Rules (“FRR”) 3 hours
6. Four key Type 1,4,6,9 licences 3 hours
7. Blockchain and Fintech Compliance  3 hours
8. Cross-border licensing and opportunities 3 hours
9. Examination and Feedback 3 hours
Total Contact Hours   36 hours
 
Assessment and Award
  1. Passing Mark: score at least 40% for each assessment component in addition to an overall pass mark of 50%
  2. Overall attendance requirement of 80% or above
Admission & Application

Admission Requirements

  • Have completed the Certificate for Module in Fundamentals of Operation Finance and Compliance; AND have obtained a Bachelor’s Degree programme or its equivalent, with at least one year relevant work experience in regulatory activities field in the financial industry at the capacity of Responsible Officer, Manager in charge, lawyer, accountant or equivalent; OR
  • Mature students of at least 21 years of age, with five years relevant work experience in regulatory activities field in the financial industry at the capacity of Responsible Officer, Manager in charge, lawyer, accountant or equivalent.

Online Application

www.scope.edu/eapp/AOFCompliance

 

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