Learning Objectives:

  • Understand the regulatory landscape for digital investment.

  • Explain global investment performance standards.

  • Analyse the role of regulation in FinTech and blockchain.

7.1 The Regulatory Landscape for Digital Investment

The SUSS course covers “FinTech regulations and risk management” as a core topic . The WMI course covers “regulatory compliance requirements in Singapore and other jurisdictions” .

Key Regulatory Frameworks:

  • Global Investment Performance Standards (GIPS): The SUSS course covers “Evaluate the global investment performance standards” .

  • MiFID II (Europe): Investment services regulation.

  • SEC Regulations (US): Securities regulation for digital assets.

  • MAS Guidelines (Singapore): Guidelines for digital asset regulation.

7.2 FinTech Regulation and Compliance

The SUSS course requires students to “Examine the role of regulation on FinTech and blockchain technology” and “Analyse the various risks and security issues involved with the blockchain technology” .

Key Regulatory Areas:

  • Investor Protection: Disclosure and suitability requirements.

  • Market Integrity: Anti-fraud and market manipulation rules.

  • Financial Stability: Systemic risk monitoring.

  • Data Privacy: Compliance with data protection regulations.

7.3 RegTech and Compliance Automation

The SMU WealthTech course covers “Navigate the intricate regulatory landscape and legal frameworks, with a focus on understanding the role of RegTech for established WealthTech players” .

Key RegTech Applications:

  • Automated compliance monitoring.

  • Regulatory reporting automation.

  • KYC and AML compliance.

  • Risk assessment and monitoring.

PreviousNext