Introduction to RegTech Compliance
Learn about the evolution of financial regulations and how RegTech is enhancing financial stability.
About the course
This course provides an insight to the fundamental principles of regulator mandates, and the importance of RegTech solutions for the evolution of FinTech. Learners will be able to comprehend how compliance is changing as its processes are digitized and datafied by deepdiving into E-KYC.
Difficulty: Foundation
Duration: 60mins
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With this online course, you will:
- Discover why the development of challenger banks has required the application of E-KYC
- Describe current internal regulatory process and explain how these can be digitized
- Provide cost/benefit analysis when automating compliance at a regulator and firm level
- Understand the role of RegTech and its potential to enhance financial stability and customer protection
Skills
Regtech
KYC & AML
Compliance
Big-tech
Fintech
The expert you’ll be learning from
Janos Barberis and Douglas Arner
Co-Founder, SuperCharger Ventures
Janos Barberis is Co-Founder of Supercharger Ventures. He skillfully combines academic rigour with an unrivalled entrepreneurial spirit. He has an established track record in the FinTech Industry (named 32nd Most Powerful Dealmaker globally, Institutional Investors, 2018) and in academia (13th legal scholar in the world, SSRN, 2018). He is driven to deliver actionable insights which have benefited the business transformation and innovation of Tier-1 financial institutions, across 400 B2B partnerships with cutting-edge technology start-ups. Janos currently focuses on the financial stability implications of BigTech firms, given their “too-large-to-ignore scale” and promotes a sustainable finance agenda via start-up business models. He leads a team of 18 people across key FinTech hubs, including Hong Kong, Singapore & London. Douglas Arner is the Kerry Holdings Professor in Law at the University of Hong Kong and an expert on financial regulation, particularly the intersection between law, finance and technology.
Course Content
In this chapter, we look at the evolution of international financial regulation, and the key pillars established over the last 10 years. You will also be introduced to the new key regulatory agendas of 2020 and the decade ahead.
In this chapter, we will study the development of Challenger banks and the use of E-KYC. Here, you will further understand the startup cost structure, RegTech benefits
and building native digital compliance with data-first solutions.
In this chapter, we will discuss the difference between principle and rule based regulation, and the various regulatory architectures such as central, twin peak or product based.
In this chapter, we look at the 4 key regulatory mandates, the balancing acts between various mandates and their impact on the ecosystem — in particular, through the case study of the UK fintech regulatory situation.
In this chapter, we will dive deep into regulatory sandboxes, particularly looking at why they foster innovation in financial services and their effectiveness. You will go further to into the future of regulatory sandboxes.
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FAQ
CFTE’s brand new online learning platform! THINK produces and delivers dozens of bite-sized courses which will allow you to get a good understanding and be constantly updated about everything concerning Fintech!
Disruptive technologies and innovations don’t come on their own. They bring significant transformations and challenges both in terms of culture, people, jobs, environment and governance. Therefore we believe these topics can’t be separated from one another.
The courses offered on THINK have slightly different approaches to the topics. You’ll find evergreen foundational-level courses which will help you get a good understanding without any prior knowledge, but you’ll also find courses that explore the players in the respective ecosystems, courses that explore the regulations of a certain field and even courses that dive deep into specific companies’ way of operating!
THINK is meant for all those professionals who want to be kept up to date with the latest developments in these fields, but don’t necessarily have the time to go through countless articles or newspapers.
Technology is deeply transforming the way financial institutions do business and manage operations. Understanding these shifts will allow you to benefit from them, and not miss out on any potential opportunities for you and your organisation.
Users and customers nowadays are more aware than ever about the environmental and social impact of their choices, as a consequence companies are putting more attention on these topics even at the cost of reduced financial performances.
Digital Assets, Blockchain, Decentralisation and Web3 are still in a very early stage. They may reshape and revolutionise our current business models, therefore we believe it’s worth paying special attention to the innovations they bring to the table.
Understanding how technology works, its potential and its limitations is essential to properly embrace it and leverage it. Even non-technical professionals need to get a comprehensive understanding of these tools, as they will have an increasingly important role in our lives.
