Mode of

Full-time: 1 Year
Part-time: 2 Years


Mr Syren Johnstone
T. (852) 3917 2953 | E.


(for 2022-2023)
Full-time: $182,000 p.a.
Part-time: $91,000 p.a.

* Subject to University’s approval.


1 March 2021
(GMT +8) 12:00 noon

19 April 2021
GMT +8) 12:00 noon

Programme structure
Admission requirements
Information Session
Online application

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

The area of compliance and regulation continues to undergo significant development and changes in response to a growing body of legal and regulatory requirements – and the increasing consequences for breaching them – that affect how business in the financial services sector is now undertaken. Teaching provided by a team of knowledgeable and experienced academic staff as well as industry and professional practitioners bring different perspectives to the topic.

Students have the opportunity to study the current issues impacting on various areas of the financial services sector, such as financial and securities law, wealth management, insurance, money laundering, etc. as well as gaining wider perspectives including Hong Kong in the international context and securities laws in the PRC. The range of courses offered on the programme enable students to choose subjects that suit them.

The programme recognizes that the knowledge accumulated might help students in their future development by building students’ understanding and expertise of an area of increasing complexity, and an awareness of the commercial, policy, technological and other factors that may affect compliance and regulation in the future.

Students are required to complete 72 credits, including (i) two 9-credit compulsory courses as foundations of the curriculum, (ii) a minimum of two 9-credit core compliance and regulation courses, (iii) a minimum of one 9-credit course from a list of specialized topics courses, and (iv) a capstone experience in accordance with the regulations for this degree and the syllabuses. Students may choose courses from the course outlines of individual areas of law below, and courses from any of the specialist programmes, but in any event no more than two courses from other LLM specialist programmes.

(Each of the courses listed below carries 9 credits unless otherwise stated.)

  • Compulsory courses
    • LLAW6255 Compliance: law in practice
    • LLAW6254 Compliance: regulation in practice
    • (Note: Students will not be allowed to take LLAW6093 Regulation of Financial Markets)
  • Capstone courses
    • (Students must choose at least one 9-credit course from the list below.)
    • LLAW6245 Compliance in the Hong Kong securities industry
    • LLAW6127 Current issues in financial law
    • LLAW6054 9-credit Dissertation*
    • LLAW6014 18-credit Dissertation*
    • LLAW6244 Securities regulation II
    • *LLAW6014 and LLAW6054 are mutually exclusive.
  • Core compliance and regulation courses
    • (Students must choose at least two 9-credit courses from the list below.)
    • LLAW6153 Business and human rights
    • LLAW6025 Company law and securities regulation in the People’s Republic of China
    • LLAW6257 Compliance for listed companies
    • LLAW6088 Derivatives: law and regulation
    • LLAW6282 Financial crimes – governance, risk and compliance
    • LLAW6222 Financial dispute resolution: Hong Kong and international perspectives
    • LLAW6107 Insurance law
    • LLAW6133 International economic law
    • LLAW6057 International securities law
    • LLAW6265 Law, regulation and compliance for insurance industry in Hong Kong
    • LLAW6110 Law and regulation of banking and insurance in the People’s Republic of China
    • LLAW6239 Law and regulation of private banking and wealth management I
    • LLAW6246 Law and regulation of private banking and wealth management II
    • LLAW6256 Law of anti-money laundering and counter-terrorist financing and compliance issues
    • LLAW6097 Pension and investment funds in Hong Kong and the PRC
    • LLAW6046 Privacy and data protection
    • LLAW6266 Regulatory compliance in international finance and OTC derivatives documentation
    • LLAW6049 Securities regulation I
  • Specialized topics courses
    • (Students must choose at least one 9-credit course from the list below.)
    • LLAW6187 Advanced topics in competition law
    • LLAW6236 ASEAN law
    • LLAW6172 Carriage of goods by sea
    • LLAW6185 China investment law
    • LLAW6186 China trade law
    • LLAW6003 Civil and commercial law in the People’s Republic of China
    • LLAW6124 Communications law
    • LLAW6284 Compartive company law
    • LLAW6279 Comparative corporate law and theories
    • LLAW6264 Competition law and policy in China
    • LLAW6154 Competition law I
    • LLAW6155 Competition law II
    • LLAW6101 Competition, mergers and acquisitions
    • LLAW6252 Construction of commercial contracts
    • LLAW6223 Copyright and creativity
    • LLAW6207 Corporate conflicts
    • LLAW6082 Corporate governance and shareholder remedies
    • LLAW6171 Corruption: China in comparative perspective
    • LLAW6002 Credit and security law
    • LLAW6206 Cross-border corporate finance: issues and techniques
    • LLAW6084 Cross-border insolvency law
    • LLAW6114 Cross-border legal relations between the Mainland and Hong Kong
    • LLAW6117 Cybercrime
    • LLAW6111 E-business law
    • LLAW6126 e-Finance: law and regulation
    • LLAW6210 Energy law
    • LLAW6194 Global business law I
    • LLAW6195 Global business law II
    • LLAW6005 Hong Kong intellectual property la
    • LLAW6120 Intellectual property and information technology
    • LLAW6140 Intellectual property, innovation and development
    • LLAW6212 Intellectual property protection in China: law, politics and culture
    • LLAW6132 International and comparative intellectual property law
    • LLAW6099 International commercial arbitration
    • LLAW6007 International dispute settlement
    • LLAW6037 International environmental law
    • LLAW6128 International trade law I
    • LLAW6129 International trade law II
    • LLAW6288 Introduction to European Union law
    • LLAW6170 Introduction to information technology law
    • LLAW6227 Introduction to private international law (conflict of laws)
    • LLAW6230 Law and practice of international investment treaty arbitration
    • LLAW6283 Law of international civil aviation and aircraft finance
    • LLAW6055 Law of international finance1
    • LLAW6094 Law of international finance 2
    • LLAW6181 Management and commercialization of intellectual property
    • LLAW6029 Managing commercial disputes in China: law, issues and techniques
    • LLAW6224 Mergers and acquisitions
    • LLAW6176 Online dispute resolution
    • LLAW6219 Patent law
    • LLAW6139 PRC information technology law
    • LLAW6201 PRC taxation law and policy
    • LLAW6250 The regulation of biomedical research
    • LLAW6200 Topics in trademark law
    • LLAW6211 World trade law, policy and business
  • Elective courses
    • (Students may choose courses from the course outlines of individual areas of law above, and courses from any of the specialist programmes, but in any event no more than two courses from other LLM specialist programmes.)

NOTE: Not all courses will be offered in any given year. For actual courses available, please refer to annual course offerings.

Applicants must comply with the General Regulations and Regulations for Taught Postgraduate Curriculaand 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.

(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.

Applications are considered based on the applicant’s previous academic record, related 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.

For September 2021 Entry – Jointly with LLM(CFL)

Saturday, 16 January 2021
(GMT +8) 2:30 pm – 4:00 pm
Live Zoom Session – Please click here to register.

Online application will open in December 2020.

Deadline: (GMT +8) 12:00 noon, 1 March 2021.