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
| PLO A | PLO B | PLO C | PLO D | PLO E | PLO F | |
| CLO 1 | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| CLO 2 | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| CLO 3 | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| CLO 4 | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
| CLO 5 | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ |
Assessment(s)
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/