Regulatory Compliance Auditing for FinTech Startups

Introduction to Regulatory Compliance in FinTech

• Overview of the FinTech ecosystem and its regulatory challenges.
• Key regulations affecting FinTech: GDPR, PSD2, AML, KYC, and others.
• Regulatory authorities and their roles (e.g., FCA, SEC, etc.).
• Compliance frameworks and the importance of audits.

Risk Management and Compliance Frameworks

• Introduction to risk management in the FinTech context.
• Key risks for FinTech startups (e.g., data privacy, fraud, financial crimes).
• Designing a compliance framework: Policies, procedures, and controls.
• Tools and techniques for risk assessment and management.

Conducting Compliance Audits in FinTech

• The audit process: Planning, execution, and reporting.
• Common audit tools and methodologies.
• Evaluating internal controls, documentation, and processes.
• How to identify gaps in compliance and suggest improvements.

Best Practices for Maintaining Compliance and Preparing for Future Regulations

• How to stay updated with evolving regulations.
• Building a culture of compliance in FinTech startups.
• Effective communication with regulators.
• Preparing for future audits and regulatory changes

1ST BATCH: Tuesday, March 10, 2026 — Friday, March 13, 2026.

2ND BATCH: Tuesday, June 30, 2026 — Friday, July 3, 2026.

3RD BATCH: Tuesday, October 27, 2026 — Friday, October 30, 2026.

The training methodology integrates lectures, interactive discussions, collaborative group exercises, and
illustrative examples. Participants will acquire a blend of theoretical insights and hands-on practical
experience, emphasizing the application of learned techniques. This approach ensures that attendees return
to their professional environments equipped with both the competence and self-assurance to effectively
implement the acquired skills in their responsibilities.