Regulatory Compliance Auditing for FinTech Startups

Course Objectives:       

• Understand the regulatory landscape for FinTech startups.
• Learn the auditing processes and tools for ensuring compliance.
• Develop skills to identify and mitigate compliance risks.
• Gain insights into best practices for maintaining long-term regulatory compliance.

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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.

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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.

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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.

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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.

DATE:
1ST BATCH: 10th – 13th Mar,2026
2ND BATCH: 30thJune – 3rd July,2026

3RD BATCH: 27th – 30th Oct,2026