Regulations and Compliance in FinTech
( 25 Modules )

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

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Regulations and Compliance in FinTech ( 25 Modules )

Regulations and Compliance in FinTech
( 25 Modules )