RegTech and SupTech – Regulatory Technology and Supervisory Technology

Course description

TAKE ADVANTAGE OF OUR EARLY BIRD PROMOTION – BOOK BY 5 FEB & SAVE £270!

We offer a unique opportunity to complete this course remotely via live virtual session conducted by a senior market practitioner.

The course is split into 3 x 4.5 hrs sessions starting at 12.30 p.m. until 5 p.m UK time. The sessions are very practical and interactive and will include discussions and Q&As. You will receive a set of course materials and certificate on completion.

___________________________________________

A series of excesses in the Banking and Financial Services industry culminating in the financial crisis and the Euro Zone and emerging markets crises, have resulted in a regulatory overhaul of the industry by the Central Banking regulators (BCBS) the Securities and Markets regulators (IOSCO), Insurance regulators (IAIS). These regulatory drivers, combined with emerging Financial Technologies (FinTech), have led to the rise of Regulatory Technologies, or RegTech. As a result of these developments, regulators and supervisory authorities are updating their technology and operating models for better data gathering and analysis, supervision and monitoring, giving rise to Supervisory Technologies or SupTech. This course provides a comprehensive introduction to both RegTech and SupTech, with key synergies and future operating models.

The course provides regulatory background for global Regulatory Technology (RegTech) and Supervisory Technology (SupTech) sectors, with the focus on the evolution of the RegTech and SupTech within Financial Services and Insurance/Tax regulations.

The sessions provide background and concepts of key business areas for RegTech and SupTech including Financial Crime Compliance, Data and Privacy Compliance and Network Security, Governance and Risk Management, Tax Compliance, and Market Surveillance, Monitoring and Reporting technologies.

This workshop covers key technology and analytics drivers for RegTech and SupTech, within banking and financial services in the US, EMEA and APAC.

What will you learn

By attending this course you will: 

  • Gain a solid understanding of the RegTech and SupTech landscape globally
  • Learn about the specific RegTech and SupTech terminologies and operating systems used
  • Get familiar with the practical aspects of RegTech and SupTech within Retail and Institutional Banking, Corporate finance, Asset Management, Insurance and Tax regimes

__________________________________

You may be also interested in one of the following courses: 

Register for any 2 public courses at the same time and save extra £100 (in total, not per course). We also offer related in-company training including FinTech, Regulatory Reporting and more.

 


Main topics covered during this training

  • Background and Scope
  • Application of RegTech and Sup Tech in Data and Privacy Compliance, Network Security
  • Applications in Governance and Risk Management including some of the key regulations such as Basel III/CRD IV, IFR/IFD, IFPR, Dodd Frank and EMIR, MIFID II, SMCR and SG/Ireland IAC
  • Use of RegTech and SupTech in Tax Compliance
  • Monitoring and Reporting
  • Key Technology and Analytics Drivers for Regulatory and Supervisory Analysis

Who should attend

  • Banking and Markets Regulators – Analysts and Managers
  • Investment and Operations Analysts and Managers
  • Banking Technology Managers
  • Banking and Markets Regulatory analysts
  • Compliance
  • Audit Managers and analysts
  • HR Managers

Regulatory Technology and Supervisory Technology - RegTech and SupTech Course

Background and Scope

  • RegTech Introduction – Financial Crime Compliance, Data and Privacy Compliance, Governance and Risk Management, Tax Compliance, Network Security Compliance, Monitoring and Reporting
  • SupTech Introduction – Banking and Financial Services Supervisory Technologies, Pensions and Insurance Supervisory Technologies
  • Key Business Areas for RegTech and SupTech – Reporting, Monitoring and Analytics, Market Surveillance and Misconduct Analysis, Governance and Risk, Macro Prudential Monitoring
  • Introduction to Key Technology changes facilitating RegTech and SupTech –Big Data and Artificial Intelligence, Machine Learning and Advanced Analytics
  • Regulatory Drivers – US, EMEA and APAC Banking, Insurance and Asset Management Regulations

Financial Crime Compliance 

  • UN Conventions and Financial Action Task Force (FATF)
  • Global Anti-Money Laundering (AML)/Combating Financing of Terrorism (CFT) Rules and Systems
  • Global Know Your Customer (KYC) and Know Your Customer’s Customer (KYCC) Rules and Systems
  • Client Assets Protection regulations (UK CASS, EU, US and APAC regulations)
  • Key RegTech products for Financial Crime Compliance
  • Key SupTech products for Financial Crime Monitoring

Data and Privacy Compliance, Network Security 

  • Financial and Personal Data Concepts
  • Network Security, Cybersecurity and Cybercrime Concepts
  • Global Data Privacy Regulations – EU GDPR, SG Data Protection Regulations, California Privacy Act
  • Key RegTech products for Data Privacy and Cybersecurity
  • SupTech governance for Network Security and Data Protection – ICO and DPO concepts, Authentication and Integrity of transactions, key systems and processes

Governance and Risk Management 

  • Governance and Risk Management Regulations – Basel III/CRD IV, IFR/IFD, IFPR, Dodd Frank and EMIR, MIFID II, SMCR and SG/Ireland IAC
  • Liquidity and Capital Metrics, Stress Testing RegTech and SupTech products
  • Model Governance and Credit, Market, Counterparty Risk Management systems
  • Key RegTech and SupTech products and industry players in Governance and Risk Management

Tax Compliance 

  • Global Tax Regimes and Tax Evasion Concepts
  • The Common Reporting Standard (CRS), US Foreign Account Tax Compliance Act (FATCA), and Fiscal Monitoring
  • Local Regulatory Transfer Pricing (TP) Systems, Country by Country Reports (CBCRs), Systems and Processes
  • Key RegTech and SupTech products and processes for Tax Compliance

Monitoring and Reporting 

  • Trade, Transaction and Client Reporting Regulations Globally – Dodd Frank, EMIR, MIFIR, SFTR, PRIIPS, Solvency II, ASIC, APAC Reporting
  • Algo and Hi Frequency Trading Monitoring and Reporting systems
  • RegTech and SupTech systems – Data Collection and Data Analysis (ARM/TR, SDRs etc), Transaction Monitoring, Market Timing and Market Abuse monitoring

Key Technology and Analytics Drivers for Regulatory and Supervisory Analysis  

  • Data Collection and Data Mining – Big Data, Data Management and Reporting, Automation and Real-Time Monitoring, AI, Machine Learning and Deep Learning methodologies
  • Data Analytics – Market Surveillance, Misconduct Monitoring, Micro and Macro Prudential analytics
  • Forecasting, Predictive Analytics, Financial Stability Governance

 

Trainer

The trainer is an industry advisor and regulatory expert with over 20 years of experience in investment banking, asset management and Regulatory Technology (RegTech). He is an industry expert in Financial Regulation, RegTech, Open Banking, Digital Payments and Payments Systems and cover all the key banking and finance regulations across US, EMEA and APAC including MIFID II, EMIR, CASS, SFTR, IFR/IFD, Dodd Frank, FINMA (SIX), HKMA MAS and SFC, IBOR Transitions, SMCR, and ESG Regulations such as SFDR.

He has a deep expertise in analysing and implementing FinTech lending and asset management models, including Digital Banking and Digital Assets infrastructure (using Blockchain for central banking (CBDCs)) and is experienced in strategic regulatory Technology, Process and Platform management, particularly creating future state Open Banking APIs, Payment Platforms, RegTech Big Data platforms, and incorporating Risk and Governance policies 

His recent key engagements include banks such as HSBC, Deutsche Bank, JP Morgan and Barclays and buy side firms such as T. Rowe Price, Ruffer, M&G and Investec Asset Management. He is also a member and advisor of Industry association committees for regulatory consultations with bodies such as ESMA, FCA, PRA/Bank of England and SEC.

 

FAQ

We offer banking and finance courses as well as soft skills and business management training. You can either attend an open public course in London or Dubai or arrange customised in-house training to be delivered in any of your offices worldwide.

Most of our public courses are run over 2 full days. Some programmes are offered as a 1 or 3 day training.

In-house training is tailored to client’s requirements and can be organised over 1 day, 2-3 weeks or longer.

Public courses are organised mainly in London and Dubai. Occasionally we organise courses in other centres like Paris or New York. Check our public course calendar for the current list of programmes. We use a range of training venues, all in the centre of the cities and with excellent transport links to the airports and train stations.

In London we use venues in the centre (near Oxford Circus station or in Mayfair) or in the City (near Liverpool Street or Moorgate stations).

In Dubai our courses are organised in one of 4-5* hotels in the Deira district. Once you register we will send you detailed information together with accommodation options if required.

Our in-house courses can be delivered anywhere in the world. We work with over 25 trainers worldwide. Contact us do discuss your requirements. Check our list of available programmes.

Our courses are run in central locations from 9 a.m until 5-5.30 p.m. There are 2 coffee breaks and a lunch break. Lunch is always provided in the venue.

Dress code is smart casual.

All our programmes are taught by senior specialists who have spent many years in their respective sectors, working as senior managers and head of departments, so they understand very well the market and the challenges you are facing.

The experience of our trainers allows us to create very practical programmes, focused on current market trends and challenges. You can be sure that you will gain the knowledge which can be instantly applied in your workplace after the course. You will be analysing real life case studies, take part in group exercises and discussions as well as role plays, whenever applicable.

We want our courses to be as practical and interactive as possible so we limit the number of participants in order to optimise your time with the trainer and allow you to ask questions which are important for you.

In order to understand your requirements and expectations, we will send you a pre-course questionnaire.

You will also receive post-course support so if you have any questions after you left the training, you are welcome to contact us.

There are 2 easy ways to register:

  1. Go to the course of your choice and click Register Now button to fill the registration page
  2. Email us to enquiry@eurekafinancial.com

After you register, we will send you registration confirmation and an invoice so you can arrange the payment. Please note that your place is not confirmed until we receive it.

If you register within Early Bird discount period, there’s limited time to arrange the payment in order to be eligible for the discount. You will find all the details on the invoice.

We don’t advise to make any travel and hotel arrangements until you receive full course confirmation from us.

We will send you venue and course details as soon as possible but most likely about 3-4 weeks prior to the course commencement.

You can pay by:

  • Making a bank transfer
  • Debit/credit card
  • Cheque payable to Eureka Financial Ltd. - only within UK

Just mark preferred paying option on the registration form. Whichever form of payment you choose we will always send you an invoice.

If you pay by card, a 2.2% processing fee will be added. We will send you authorisation form so you can give us your card details.

Included in the price of a public course are:

  • Course tutorial
  • Take away course materials
  • Course Certificate
  • Lunch on the days of the training as well as drinks and snacks throughout the course

The price doesn’t include accommodation, flights, transfers and any additional costs outside of the training venue.

Yes, we always offer Early Bird discount, so the sooner you register the more savings you can make. We also offer group discounts and if you register for 2 or more programmes at the same time.

If you are a full time student or unemployed, we offer a 25% discount of the full price of the training. Student ID or unemployment status confirmation is required to claim this discount.

If you attend one of our courses you will be entitled to a special discount for a year after the last course you attend with us. Also, if you have attended and recommended us to a friend, both you and your friend will receive a special discount. You will receive more information about it after you attend the course.

See our Customer Loyalty Discounts page for more details.

All our courses based in the UK are subject to the VAT charge of 20%. This fee is irrespective of the country of residence of the delegates.

You can, however, claim the VAT back by contacting UK tax office - HMRC, and filling the relevant form, as long as you comply with the following rules:

For Delegates coming from the EU countries

If you represent a registered business in another EU country, you can use the Refund Scheme to reclaim VAT you pay in the UK as long as all of the following apply:

  • You're not registered for VAT in the UK and don't have to, or can't be, registered here
  • You don't have a place of business or a residence in the UK
  • You don't make any supplies in the UK

You can find some more information here. In order to claim the VAT you have to fill Form 65.

For the Delegates from Non EU countries

If you represent a registered business in a non-EU country, you can use the Refund Scheme to reclaim VAT you pay in the UK as long as all of the following apply:

  • You're not registered for VAT in the UK and don't have to, or can't be, registered here
  • You don't have a place of business or a residence in the EU
  • You can only use the Refund Scheme if your own country operates a similar scheme and makes it available to UK businesses. If your country has its own Refund Scheme but doesn't let UK businesses use it, you can't claim under the UK Refund Scheme.
  • You don't make any supplies in the UK

If the following rules apply to you, please fill the 65A form and send it to HMRC.

Webinars

You can cancel your participation up to a month before the course and receive a refund minus 10% of the full course value. Between 2-4 weeks before the course you will be charged 50% cancellation fee and if you cancel less than 2 weeks before the course you can only offer your place to a colleague. Up to 2 weeks before the course you can reregister for another edition for 10% reregistration fee if there is another webinar offered or you can rebook for a course in London by paying the difference in price plus 10% reregistration fee.

Classroom Courses

If there is any official travel restriction or difficulty related to the COVID pandemic around the time of the course we will convert the training into a webinar or offer to attend the next classroom edition at no extra cost.

If you are unable to attend the course, you can either send a replacement at no extra charge or, up to 10 days before the training, you can transfer your booking to another edition within the next 6 months paying administrative fee of 20% of the full course price. For any cancellation requests received between 11 days and 4 weeks from the course we offer 50% refund or reregistration to another edition for 25% of the value of the booking. For any cancellation requests received more than 4 weeks before the course date we will offer a refund less an administration fee of 10% of the full course price.

Cancellations must be made in writing (letter or email) and reach our office four weeks prior to the course date. We regret that only limited refunds can be given after this period as per points above. Non-attendance without any notification will be charged at full rate. Your place on a course is not guaranteed until we receive the payment. All payments must be made in full before the course date.

All our trainers have been working for many years in their respective sectors before they begun to teach so they bring a wealth of practical experience to the classroom.

Most of them used to work for 15 or more years in the financial sector and corporate world, and were holding positions of Directors, VP and Senior Managers. Some of them have published books and have written articles for specialised magazines and newspapers including FT, The Independent, The Times etc. You can find detailed biography of each trainer on the page of the course you want to register for.

Yes, you will receive a Certificate of Attendance at the end of the course you attend.

If you have to apply for a Visa to attend a course in the UK, we will issue a letter to support your application. The letter will be issued only after the payment for the course has been made.

It is delegate’s responsibility to obtain a Visa and failure to do so will not make the participant exempt from the cancellation policy.

Anyone suspected of applying for a training course simply to gain a Visa letter will be reported to their embassy.

We will need the following information to issue an invitation letter:

  • Full name as it appears on your passport
  • Date of birth
  • Passport number
  • Passport issue date
  • Passport expiry date

27 - 29 Mar 2023, Online / Virtual

Register by 05 Feb to save £270

Early bird price £1825 + VAT

Regular price £2095 + VAT


5% discount for 2 and 10% discount for 3 people. There is no VAT for institutional participants from outside of the UK and individuals outside of the EU.


This topic can be arranged on in-house basis. If you have a group of 4 or more we can customise it and deliver in any location worldwide. Contact us to discuss your requirements


ABOUT EUREKA FINANCIAL

WHAT PAST DELEGATES SAY

We are using cookies on our website

Please confirm, if you accept our tracking cookies. You can also decline the tracking, so you can continue to visit our website without any data sent to third party services.