top of page

RegTech Foundation Course Curriculum

RegTech in the Financial Services Industry: reshaping the risk and compliance function
​

  • Introduction

  • Defining RegTech

  • The drivers calling for RegTech innovation

  • Overview of the RegTech ecosystem participants

​

 

 

Module 1 (60 min):

Module 3 (90 min):

Module 4 (90 min):

Module 5 (90 min):

Module 2 (90 min):

Which risk and compliance challenges are the most salient today?

​

  • Risk management and stress testing: modelling, scenario analysis and forecasting

  • Regulatory reporting

  • Client on-boarding and KYC: Identification of client and legal persons

  • AML and CFT: payment transactions monitoring, tracing and auditing

  • Conduct monitoring (bribery/corruption risk, market surveillance, customer protection…)

  • Trading in Financial Markets compliance (best execution, margin computation…)

  • New regulation identification and related impact analysis

  • Data protection compliance and other applications

 

The technologies and concepts underpinning RegTech innovation
​

  • The digital revolution

  • Internet Commoditization and Cloud Computing (IaaS, PaaS, SaaS)

  • Big Data analytics and Artificial Intelligence

  • Distributed Ledger Technology and Blockchain

  • Other technological developments

  • Utility services

  • Other trends

 

5 min break
10 min break
60 min lunch break
Concrete applications of RegTech: the use cases

​

  • Introduction to a panel of concrete use cases

​

 

 

 

10 min break
10 min break
RegTech innovation and adoption: blockers and enablers
​

  • the regulatory landscape challenge

  • the technology and standard challenge

  • the RegTech strategy challenge

  • the collaboration and engagement challenge

 

Module 6 (60 min):

Exploring the broader perspective of RegTech and conclusion remarks
​

  • Where is the frontier with SupTech, FinTech, LegalTech, TaxTech, InfoSec…?

  • RegTech beyond the Financial Services Industry

  • Conclusion remarks and certificate delivery

 

Learning Objectives

Thanks to a mix of lectures, case studies and group discussions, at the end of the course, you will:

​

•Be able to explain what defines the RegTech movement and highlight the driving forces behind it

​

•Understand which risk and compliance functions are redefined by RegTech, why and how

​

•Develop the basic knowledge of digital technologies and concepts underpinning RegTech

​

•Be able to discuss concrete application cases of RegTech

​

•Have an overview of challenges pertaining to RegTech innovation and adoption, as well as possible ways to overcome them

Learning Objectives
Curriculum
bottom of page