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Compliance Risks in a Fintech Environment Assignment

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Added on: 2022-12-23 05:18:59
Order Code: 481991
Question Task Id: 0
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  1. Examine the evolution and scope of Fintech - the technological enhanced provision of financial services - and differentiate Fintech business and operating models from traditional financial institutions.

  2. Evaluate the challenges in the implementing, integrating, scaling and commercialising Fintech operating models.

  3. Analyse the contemporary compliance challenges created in the Fintech environment, for example: how to bridge the cultural gap between the benefits of innovation and the necessity of regulation.

  4. Contextualise the current regulatory environment for financial services providers from the perspective of international standard setting bodies and the core European (Irish) regulatory authorities.

  5. Detail the strategic role and responsibilities of the Central Bank as the National Competent Authority (NCA).

  6. Assess the detailed authorisation process for Fintech credit institutions, payments institutions and electronic money providers in the context of the contemporary Central Bank and European Banking Authority (EBA) regulation and guidance.

  7. Analyse the Central Bank’s and the EBA’s guidance on the authorisation process for a payment institution, an electronic money institutions, an account information service provider, and the registration of a small electronic money Institution.

  8. Review the evolution of AML Directives and the subsequence transposition into national (Irish) legislation in the context of compliance and regulatory reporting in an innovative Fintech payments environment.

  9. Analyse the Central Bank current AML/CFT guidance and the EBA’s revised guidance on AML/CFT risk factors from a practitioner’s operational perspective.  

  10. Review the contemporary/evolving EU policy on implementing a comprehensive AML regulatory framework.

  11. Evaluate the compliance risks and regulatory focus on the protection, governance, and ethical use of personal and non-personal, data in an increasingly digitised financial services environment.

  12. Examine the regulation of personal and non-personal data in the context of the opportunities and risks related to Fintech providers of financial products and services.

  13. Evaluate the potential impact of data-driven digital solutions upon financial inclusion and the ethical use of personal data in the development of financial services.

  14. Analyse the potential impact of data-driven digital solutions upon financial inclusion and the ethical use of personal data in the development of financial services.

  15. Detail the Central Bank and EBA’s guidelines on the outsourcing, and related mitigation of concentration, operational and systematic risks, of critical financial services by Fintech providers.

  16. Differentiate between where outsourcing can be used to perform certain activities - for example: client interaction, pricing, credit scoring, insurance claims management and auxiliary services – and where outsourcing that can also be used to buy in ‘just’ the technology and infrastructure – for example: the digital solution that enable the provision of financial services.

  17. Evaluate the extent and structure of outsourcing of critical services by financial institutions and assesses the appropriateness of tools in place to mitigate concentration, operational, and systemic risks.

  18. Quantify the requirements of the Central Bank of Ireland’s Fitness and Probity Regime, and the specific Central Bank guidance on the specific requirements related to payment and electronic money institutions.

  19. Discuss the requirements of the Central Bank’s Fitness and Probity Regime with respect to the key function holders Controlled Functions (CF’s) and Pre-Approved Functions (PCF’s) of regulated (Fintech) financial service providers (RFSP).


  • Uploaded By : Katthy Wills
  • Posted on : December 23rd, 2022
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