Module #1 Introduction to FinTech Regulations and Compliance Overview of the FinTech industry and the importance of regulations and compliance
Module #2 Global FinTech Regulatory Landscape Survey of major FinTech regulatory bodies and jurisdictions (e.g. US, EU, UK, APAC)
Module #3 Financial Regulations 101 Foundational principles of financial regulations, including securities, banking, and consumer protection
Module #4 Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) Overview of AML/CFT regulations and requirements
Module #5 Know-Your-Customer (KYC) and Customer Due Diligence Best practices for KYC and customer due diligence in FinTech
Module #6 Data Privacy and Protection Overview of data privacy regulations (e.g. GDPR, CCPA) and their implications for FinTech
Module #7 US Regulations:Dodd-Frank and Consumer Financial Protection Bureau (CFPB) In-depth analysis of the Dodd-Frank Act and CFPB regulations
Module #8 EU Regulations:PSD2 and GDPR In-depth analysis of the Payment Services Directive 2 (PSD2) and General Data Protection Regulation (GDPR)
Module #9 UK Regulations:Financial Conduct Authority (FCA) and Brexit Implications In-depth analysis of FCA regulations and the impact of Brexit on FinTech
Module #10 APAC Regulations:Overview of Key Markets (e.g. Singapore, Hong Kong, Australia) Survey of FinTech regulations in select APAC markets
Module #11 Risk Management and Compliance in FinTech Best practices for risk management and compliance in FinTech
Module #12 Regulatory Sandboxes and Innovation Hubs Overview of regulatory sandboxes and innovation hubs, including their benefits and challenges
Module #13 FinTech Licensing and Permitting Overview of FinTech licensing and permitting requirements
Module #14 Compliance and Regulatory Reporting Best practices for compliance and regulatory reporting in FinTech
Module #15 Audits and Examinations:Preparation and Response Best practices for preparing for and responding to audits and examinations
Module #16 Enforcement Actions and Penalties Overview of enforcement actions and penalties in FinTech
Module #17 FinTech Compliance Tools and Technologies Overview of compliance tools and technologies, including regulatory technology (RegTech)
Module #18 Human Resources and Training for Compliance Best practices for building a compliance team and training staff in FinTech
Module #19 Third-Party Risk Management and Due Diligence Best practices for managing third-party risk and conducting due diligence in FinTech
Module #20 Changes in Regulation and Compliance Horizon Scanning Monitoring changes in regulation and horizon scanning for future changes
Module #21 FinTech Compliance for Non-US Companies Overview of compliance considerations for non-US FinTech companies operating in the US market
Module #22 FinTech Compliance for US Companies Operating Abroad Overview of compliance considerations for US FinTech companies operating in international markets
Module #23 Crisis Management and Reputation Risk in FinTech Best practices for crisis management and reputation risk in FinTech
Module #24 Ethics and Conduct in FinTech Overview of ethics and conduct considerations in FinTech
Module #25 Course Wrap-Up & Conclusion Planning next steps in Regulations and Compliance in FinTech career
