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 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 regulatory agencies’ policy making considerations, the relevance of international developments domestically, the impact of financial technology, the role of ethics and culture), to industry-specific topics (such as banking and securities law, wealth management, insurance, money laundering, securities laws in the PRC).

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

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 qualification accepted 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 the University for this purpose and have at least two years relevant experience and professional qualifications; or

(3) have obtained either the Common Professional Examination of England and Wales or the Common Professional 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 comparable institution 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) Test of English as a Foreign Language (TOEFL) - a score of 593 or above (paper-based test) or 97 or above (internet-based test); or
(ii) International English Language Testing System (IELTS) - an overall band score of 7 or above with no subtest below 6.5.

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

Subject to satisfying the above entrance requirements, applications are considered based on the applicant's previous academic record, relevant experiences, references, personal statements and other information as validly provided in an application submission, and in view of applications received from other applicants and taking into account the quota for the programme.

(1) In view of the large number of applications, applicants are strongly encouraged to submit their application early;
(2) Supporting documents must be submitted within three weeks from the date of application;
(3) In the event you expect to be unable, despite best efforts, to satisfy all documentary requirements; you are encouraged to submit the application together with a note explaining the situation and indicating when the outstanding documents are expected to be provided.
(4) Failure to complete the documentations may result in delay in consideration of the application.  An application will not be reviewed and acted upon until it is complete.

Programme Admissions Advisor(s)
Mr. Syren Johnstone

Tel: 3917 2953