This intensive course equips legal professionals, compliance officers, regulators, and FinTech practitioners with in-depth knowledge and practical skills in financial regulation, emerging FinTech technologies, and legal compliance frameworks. The program explores banking regulation, capital markets compliance, digital finance, payment systems, cryptocurrencies, blockchain, and RegTech, enabling participants to navigate the evolving regulatory landscape effectively. Participants will learn how to ensure compliance, manage legal risks, advise clients, and develop regulatory strategies for FinTech operations, through a combination of legal principles, practical exercises, case studies, and interactive workshops.
Secure enrollment • Professional certificate included
Learning Objectives
By the end of the course, participants will be able to:
Understand domestic and international financial regulatory frameworks.
Advise on legal and compliance obligations for FinTech operations.
Draft and review contracts, policies, and compliance documents in financial technology contexts.
Identify, assess, and mitigate legal, operational, and regulatory risks.
Navigate regulatory approvals, licensing, and reporting obligations.
Apply best practices in implementing FinTech solutions while ensuring legal compliance.
Course Content
Module 1: Overview of Financial Regulation Overview: Provides foundational knowledge of financial regulatory frameworks and governing authorities. Subtopics: Domestic and international financial regulatory frameworks Role of central banks, securities regulators, and financial supervisory authorities Licensing, registration, and reporting obligations Compliance principles and supervisory enforcement Emerging trends in financial regulation Practical Focus: Case study: Analyze a financial institution’s compliance framework and identify regulatory gaps. Module 2: Legal Frameworks for Banking and Payments Overview: Covers laws and regulations governing banking, payment systems, and digital finance. Subtopics: Banking law and prudential requirements Electronic payments, mobile money, and digital wallets Anti-money laundering (AML) and counter-terrorism financing (CTF) compliance Know Your Customer (KYC) obligations Cross-border payments and foreign exchange compliance Practical Focus: Exercise: Draft a compliance checklist for digital payment services. Module 3: Capital Markets and Investment Regulation Overview: Focuses on legal compliance for capital markets participants. Subtopics: Securities regulation and capital market compliance Investor protection, disclosure, and reporting obligations Fund management and investment advisory compliance Market conduct rules and anti-fraud measures Case studies on capital market enforcement actions Practical Focus: Workshop: Review an investment fund’s compliance policies and draft recommendations. Module 4: FinTech Legal Frameworks Overview: Covers the regulatory and legal aspects of emerging FinTech technologies. Subtopics: Regulatory approaches to FinTech innovations Licensing and authorization for FinTech businesses Crowdfunding, peer-to-peer lending, and robo-advisory compliance Sandbox and pilot programs for innovation Case studies on successful FinTech regulation Practical Focus: Simulation: Develop a regulatory compliance plan for a FinTech startup. Module 5: Blockchain, Cryptocurrencies, and Digital Assets Overview: Examines legal compliance in blockchain and digital asset ecosystems. Subtopics: Legal classification of cryptocurrencies and tokens Blockchain governance and smart contracts Initial Coin Offerings (ICOs) and Security Token Offerings (STOs) Anti-money laundering (AML) and cybersecurity considerations Cross-border regulatory challenges and enforcement Practical Focus: Exercise: Draft compliance and risk mitigation clauses for a blockchain-based platform. Module 6: Regulatory Technology (RegTech) Compliance Overview: Covers tools and frameworks to facilitate compliance in financial institutions and FinTech. Subtopics: RegTech solutions for AML, KYC, and reporting Automated compliance monitoring and data analytics Risk management and internal controls using technology Legal implications of automated compliance tools Case studies on RegTech implementation Practical Focus: Workshop: Design a RegTech compliance workflow for a financial services provider. Module 7: Risk Management and Legal Strategies Overview: Focuses on identifying, assessing, and mitigating legal and regulatory risks. Subtopics: Operational, regulatory, and reputational risk in FinTech Contractual risk management and indemnities Internal compliance programs and audits Cybersecurity, data protection, and privacy compliance Case studies on FinTech failures and lessons learned Practical Focus: Simulation: Develop a risk assessment and mitigation plan for a digital banking platform. Module 8: Enforcement and Dispute Resolution Overview: Covers legal remedies and regulatory enforcement mechanisms. Subtopics: Enforcement actions by regulators and supervisory authorities Administrative sanctions and penalties Dispute resolution: mediation, arbitration, and litigation in financial services Handling cross-border regulatory conflicts Case studies of enforcement actions in FinTech and banking Practical Focus: Exercise: Draft a response strategy to a regulatory enforcement notice. Module 9: Emerging Issues in FinTech Compliance Overview: Examines recent innovations, trends, and challenges in financial technology regulation. Subtopics: Artificial intelligence (AI) and machine learning in financial services Open banking and API-driven ecosystems Sustainable finance and ESG considerations Digital identity and authentication compliance Lessons from global regulatory innovations Practical Focus: Workshop: Assess the legal implications of adopting AI and open banking solutions. Module 10: Capstone Case Studies and Applied Learning Overview: Integrates learning from all modules through real-world scenarios and practical exercises. Subtopics: Review of complex regulatory compliance challenges Drafting policies, contracts, and risk mitigation plans Applying legal frameworks to emerging FinTech models Analysis of landmark regulatory cases Preparing actionable recommendations for compliance programs Practical Focus: Capstone simulation: Develop a comprehensive FinTech compliance and regulatory strategy for a hypothetical company.
Who Should Attend
This course is designed for lawyers, in-house counsel, compliance officers, regulators, risk managers, FinTech developers, and business advisors. It is also suitable for professionals involved in digital banking, payment systems, blockchain, cryptocurrencies, InsurTech, and RegTech compliance.
