This course addresses the risks of regulatory fragmentation, the EU’s approach to harmonising financial services regulation, and the role of evolving RegTech solutions in the Fintech ecosystem. The course examines the various regulatory approaches towards technological innovation, the role of ‘sandboxes’ in supporting innovation in financial services and examines the regulatory supervisor’s use of technology (SupTech). Overall, the course positions the learner in an evolving regulatory and technological landscape and enables the learner to strategically evaluate the nature of the current, and future, compliance function.
40%: Blend of competency based MCQs & scenario analysis
60%: Final Examination
On the successful completion of this course learners will be able to:
1. Identify areas of compliance risk related to regulatory fragmentation and outline the EU’s harmonisation strategy.
2. Review the adoption of innovative RegTech solutions within the evolving compliance and regulatory ecosystem.
3. Examine various ‘regulatory sandbox’ approaches to Fintech innovation.
4. Demonstrate a practical awareness of the increasing utilisation of innovative supervisory solutions by EU and national regulators.