LLAW6317 & JDOC6317

General Course Information

1.1 Course details

Course code: LLAW6317 / JDOC6317
Course name: Corporate Management Frameworks: Challenges and Responses
Programme offered under: LLM Programme / JD Programme
Semester: Second
Prerequisites / Co-requisites: No
Credit point value: 9 credits / 6 credits

1.2 Course description

The course introduces students to the establishment and the management of corporate compliance, as well as the necessary tools used to perform the compliance function. Reference shall be had to the ISO Compliance Standards.

Compliance consists of both regulatory compliance that relates to laws, regulations, and guidelines external to an organization as well as corporate compliance that focuses on internal policies, procedures, and acceptable behavior stimulated by various regulations. The importance of the latter is critical to ensure the obligations and requirements of the former are met. Furthermore, regulators dealing with competition, financial services licensing, financial crimes, data protection, and others are increasingly requiring companies to demonstrate that they have a robust and effective corporate compliance system.

For corporations to achieve their compliance goal, they have to grapple with, inter alia: the roles and functions of compliance, develop an effective compliance system, managing and monitoring compliance risks, compliance planning, policy setting, internal control and resources, establishing compliance culture and code of conduct, compliance audit as well as stakeholder engagement. All of which would involve the participation and support from senior management as well as front line staff and employees across an organization.

1.3 Course teachers

Name E-mail address Office Consultation
Course convenor Angus Young alyoung@hku.hk CCT 301 By email

Learning Outcomes

2.1 Course Learning Outcomes (CLOs) for this course

CLO 1 Develop necessary reasoning and problem skills to deal with the multi-stakeholder and complex issues relating to compliance management at both organizational and individual levels.

CLO 2 Critically examine the limitations of the compliance frameworks and management systems.

CLO 3 Apply knowledge and understanding to adapt to new and uncertain situations and problems related to the compliance function at both organizational and individual levels.

CLO 4 Appreciate and evaluate the role of compliance professionals and the legal mechanisms in the management of compliance risk and develop coherent and solid arguments to understand the law and the regulation in an inter-disciplinary context.

CLO 5 Expand critical thinking and autonomous learning skills, to enable students to gain knowledge in an area of considerable commercial interest which will enhance employability potential in the financial services, listed companies, regulators and public authorities.

2.2 LLM and JD Programme Learning Outcomes (PLOs)

Please refer to the following link:

LLM – https://course.law.hku.hk/llm-plo/

JD – https://course.law.hku.hk/jd-plo/

2.3 Programme Learning Outcomes to be achieved in this course



3.1 Assessment Summary

Assessment task Due date Weighting Feedback method* Course learning outcomes
Class participation TBC 10% 3 1, 2, 3, 4, 5
Coursework and formal prepared presentation TBC 10% 3, 5 1, 2, 3, 4, 5
In-class small groups coursework discussions TBC 10% 3, 5 1, 2, 3, 4, 5
Take home exam^ 9 May 2024 70% 1, 3 1, 2, 3, 4, 5

^ Students are required to pass the exam to be eligible to pass the course.

*Feedback method (to be determined by course teacher)
1 A general course report to be disseminated through Moodle
2 Individual feedback to be disseminated by email / through Moodle
3 Individual review meeting upon appointment
4 Group review meeting
5 In-class verbal feedback

3.2 Assessment Detail

To be advised by course convenor(s).

3.3 Grading Criteria

Please refer to the following link: https://www.law.hku.hk/_files/law_programme_grade_descriptors.pdf

Learning Activities

4.1 Learning Activity Plan

Seminar: 3 hours / week for 12 teaching weeks
Private study time: 9.5 hours / week for 12 teaching weeks

Remarks: the normative student study load per credit unit is 25 ± 5 hours (ie. 150 ± 30 hours for a 6-credit course), which includes all learning activities and experiences within and outside of classroom, and any assessment task and examinations and associated preparations.

4.2 Details of Learning Activities

To be advised by course convenor(s).

Learning Resources

5.1 Resources

Reading materials: Reading materials are posted on Moodle
Core reading list: TBA
Recommended reading list: TBA

5.2 Links

Please refer to the following link: http://www.law.hku.hk/course/learning-resources/