Financial Services Regulatory Landscape and RegTech


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FNT104 - Financial Services Regulatory Landscape and RegTech

Being a successful Fintech firm requires more than just great technology; it also requires an understanding of the laws and regulations applicable to each business. The financial services (FS) industry is regulated by a number of interrelated government agencies at the federal and provincial levels. In addition, the marketing of FS products is subject to a variety of licensing requirements by regulatory and self-regulatory organizations (SROs). Students will be introduced to the domestic and international regulatory sandbox specifically designed to deal with the rapidly changing face of Fintech due to its fast-paced growth. Students will learn about the current legal, regulatory, and policy issues that have emerged within the past few years in Canada. Students will also learn how regulatory agencies are continually adjusting to the emergence of new financial technologies.

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