Mode of

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


Prof Douglas Arner
T. (852) 3917 2953 | E.


$121,000 p.a. (local students)
$146,000 p.a. (non-local students)


Part-time: $60,500 p.a.


28 February 2017.

Programme structure
Admission requirements
Online application

The LLM in Compliance and Regulation seeks to build on the Faculty’s existing strengths and successes while at the same time catering to the needs and demands of the Hong Kong, Mainland and global financial, professional and business services sector for education in the area of compliance and regulation.

With the globalization of finance, employment in the financial sector has likewise increased, with the most significant growth from the 1990s in the area of regulation and compliance – functions tasked with addressing regulatory requirements in the context of financial sector governance. In the wake of the 2008 global financial crisis, compliance and regulation has been the most rapidly growing segment of the financial services industry around the world.

Hong Kong during this period has emerged as one of the world’s leading international financial centres, typically ranked the third or fourth most significant globally (after London and New York). As a result, the financial services sector is one of Hong Kong’s pillar industries and a major source of employment. In the context of financial, professional and business services, compliance and regulation has seen very high growth since the mid-1990s. While as recently as the early 1990s, in-house legal and compliance teams were very small, today they are often larger than the largest international law firms, both globally and in the context of operations in Hong Kong. This growth continues to put pressures on employers in Hong Kong who are continually seeking new talent for ever increasing regulatory and compliance roles.

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: Candidates will not be allowed to take LLAW6093 Regulation of Financial Markets)
  • Capstone courses
    • (Candidates must choose at least one 9-credit course from the list below)
    • LLAW6153 Business and human rights
    • LLAW6245 Compliance in the Hong Kong securities industry
    • LLAW6127 Current issues in financial law
    • LLAW6054 9 Credit Dissertation
    • LLAW6014 18 Credit Dissertation
  • Core compliance and regulation courses
    • (Candidates must choose at least two 9-credit courses from the list below)
    • LLAW6025 Company law and securities regulation in the People’s Republic of China
    • LLAW6257 Compliance for listed companies
    • LLAW6088 Derivatives: law and regulation
    • 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
    • LLAW6244 Securities regulation II
  • Specialized topics courses
    • (Candidates 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
    • LLAW6154 Competition law I
    • LLAW6155 Competition law II
    • LLAW6101 Competition, mergers and acquisitions
    • LLAW6124 Communications law
    • LLAW6027 Construction law
    • 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
    • LLAW6210 Energy law
    • LLAW6194 Global business law I
    • LLAW6195 Global business law II
    • LLAW6149 Healthcare law
    • LLAW6005 Hong Kong intellectual property law
    • LLAW6120 Intellectual property and information technology
    • LLAW6140 Intellectual property, innovation and development
    • LLAW6212 Intellectual property protection in China: law, politics and culture
    • LLAW6035 International air law: structure and organisation
    • LLAW6132 International and comparative intellectual property law
    • LLAW6099 International commercial arbitration
    • LLAW6006 International commercial transactions
    • LLAW6007 International dispute settlement
    • LLAW6037 International environmental law
    • LLAW6128 International trade law I
    • LLAW6129 International trade law II
    • LLAW6096 International tax and tax planning
    • LLAW6170 Introduction to information technology law
    • LLAW6227 Introduction to private international law (conflict of laws)
    • LLAW6230 Law and practice of international investment treaty arbitration
    • LLAW6055 Law of international finance1
    • LLAW6094 Law of international finance 2
    • LLAW6102 Legal aspects of white collar crime
    • LLAW6043 Liabilities in international aviation
    • 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
    • LLAW6098 Project finance
    • LLAW6250 The regulation of biomedical research
    • LLAW6134 Selected issues on WTO and China
    • LLAW6180 Space law and policy
    • LLAW6050 Taxation in the People’s Republic of China
    • LLAW6200 Topics in trademark law
    • LLAW6211 World trade law, policy and business

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 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)

(ii) International English Language Testing System (IELTS): An overall band score of 7 or above with no subtest below 6.5

The test score report is valid for two years for admissions purpose.

Online application

Deadline: Hong Kong Time 12:00 noon, 28 February 2017.