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

 

Concrete applications of RegTech: the use cases

  • Introduction to a panel of concrete use cases

 

 

 

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

 
 

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