Introduction to RegTech Compliance

Course Difficulty

Foundation

Course Duration

60 mins

Learning Outcomes

Topics & Skills

About this 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.

Programme Curriculum

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 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 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.

About the expert

Janos Barberis

Co-founder, Super Charger 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

Kerry Holdings, Professor in Law, University of Hong Kong
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. He is Faculty Director of HKU’s LLM in Compliance and Regulation and LLM in Corporate and Financial Law, a member of the Hong Kong Financial Services Development Council, and a Senior Visiting Fellow of Melbourne Law School, University of Melbourne. Douglas served as Head of the HKU Department of Law from 2011 to 2014 and as Co-Director of the Duke University-HKU Asia-America Institute in Transnational Law from 2005 to 2016. In 1999, Douglas co-founded HKU’s Asian Institute of International Financial Law, going on to serve as its Director from 2006 to 2011. He has published fifteen books and more than 120 articles, chapters, and reports on international financial law and regulation. Douglas has served as a consultant with the World Bank, Asian Development Bank, Alliance for Financial Inclusion, APEC and European Bank for Reconstruction and Development (among others), and has lectured, co-organised conferences and seminars and been involved with financial sector reform projects around the world. He has been a visiting professor or fellow at Duke, Harvard, the Hong Kong Institute for Monetary Research, IDC Herzliya, McGill, University of Melbourne, National University of Singapore, University of New South Wales, Shanghai University of Finance and Economics, and University of Zürich, among others.

Course Curriculum

1. 

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.

2. 

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.

3. 

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.

4. 

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.

5. 

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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