Description

This course positions the traditional compliance function in the technologically driven Fintech environment. The course initially differentiates Fintech /operating models from so-called traditional financial services providers, reviews the existing regulatory environment from a Fintech perspective, and details the Fintech authorisation models. Overlaying the broad compliance framework, the course progresses to examine the compliance framework and regulatory risks in the context of a Fintech business model, for example, anti-money laundering and counter-terrorist financing (AML/CFT). Overall, this course provides learners with an introduction to the compliance function in a contemporary Fintech operating environment.

Assessment

40%: Blend of competency based MCQs & scenario analysis

60%: Final Examination  

 

OUTCOMES

On the successful completion of this course learners will be able to:

1. Differentiate the technologically enabled business models of Fintech’s versus traditional financial service providers.

2. Understand the structure of the International, European, and Irish regulatory environment from a Fintech perspective.

3. Appraise the authorisation models for Fintech credit, payment, and electronic money institutions.

4. Analyse from an operational perspective the AML/CFT compliance and regulatory reporting risks in a Fintech operating environment.