FIN4016 - Financial Regulation and Compliance

Year of Study:4
Credit Units: 3
Duration: 45hours
Prerequisites: FIN2001 Financial Management and ACY2021 Hong Kong Business Law
Module Description
This module aims to provide students with the importance of compliance and regulation that play in the Hong Kong financial services industry. The course also looks at major regulations that are having an impact on the regulatory risk management of financial institutions.
Learning Outcomes
Upon completion of this module, students should be able to:

  1. capture the regulatory overview of the HK financial services industry;

  2. identify and analyse the role and responsible of the compliance function in financial institution;

  3. explain the rules that affecting the major areas of financial services;

  4. interpret and evaluate the important elements of major compliance programme;

  5. acquire knowledge and develop insight about some of the current practices and latest developments in compliance and financial regulation.