Abbreviation FT / PT

The LLM in Compliance and Regulation enables students to gain exposure to the laws, regulatory codes, industry practices, regulator expectations and other considerations that affect the compliance task.

The area of compliance and regulation continues to undergo significant development and change in response to a growing body of legal and regulatory requirements, and societal expectations, that affect how businesses in highly regulated sectors, such as financial services, is now undertaken. This is reinforced by the consequences for non-compliance, including legal and reputational liabilities that are of increasing concern to senior management and stakeholders in regulated businesses.

Teaching is provided by a blend of academic staff and professional and industry practitioners who bring complementary perspectives to the topics covered by the programme.

Students have the opportunity to study the current issues impacting on various areas of the financial services sector and the compliance task. This ranges from high level concerns (such as policy making, international developments, new technologies, and ethics and culture), to industry and product specific topics (such as banking and securities, wealth management, data management, money laundering, and sustainable finance).

The LLM(CR) programme builds students' understanding of and expertise in an area of increasing complexity, and develops a more holistic awareness of the legal, commercial, policy, technology and other factors that influence the shape of regulation and the compliance task.

Mode of Attendance

Full Time (one year)

Part Time (two years)

Medium of Instruction


Programme Entrance Requirements

Applicants must comply with the General Regulations and fulfil at least one of requirements (1) to (3) below AND (if applicable) requirement (4):

(1) hold a degree of Bachelor of Laws with at least second class honours or an equivalent qualificationaccepted by the University for this purpose; or

(2) hold a degree in a discipline other than law with at least second class honours accepted by theUniversity for this purpose and have at least two years of relevant experience and professional qualifications; or

(3) have obtained either the Common Professional Examination of England and Wales or the CommonProfessional Examination Certificate of this University, provided that in either case a second class honours degree or a qualification of equivalent standard of this University or another comparable institution accepted for this purpose has also been obtained; and if applicable:

(4) for a candidate who is seeking admission on the basis of a qualification from a university or comparableinstitution outside Hong Kong of which the language of teaching and/or examination is not English, shall satisfy the Faculty English language requirement with one of the following recognized English tests:

i.  International English Language Testing System (IELTS) - an overall band score of 7 or above with no subtest below 6.5; or

ii. Test of English as a Foreign Language (TOEFL) - 97 or above (internet-based test)

In each case, for admissions purposes, the test score report is regarded as valid for two years of the application deadline.

Subject to satisfying these entrance requirements, applications are considered for admission based on factors including the applicant's academic record, their relevant experience, academic and other references, the quality of their personal statement, and other information as validly provided in a submission; and in view of submissions received from other applicants and taking into account any admissions quota.


(1) Demand for admission to the programme is typically high.  We strongly encourage applicants to make their submissions early and in a complete form;

(2) Supporting documents must be submitted within three weeks from the date of application;

(3) If you expect to be unable, despite your best efforts, to satisfy all our documentary requirementssimultaneously, you are encouraged to make the application and include with your submission a brief explanation of the reason for the delay and stating when the required documents will become available;

(4) Applications may not be reviewed or acted upon until they are complete, which is the applicant's sole responsibility.

Programme Admissions Advisor(s)



Tel: (852) 3917 2953