1
Front Matter
6 chapters2
Part 1: Foundations of RegTech
6 chapters- Part 1: Foundations of RegTech
- Chapter 1: What Is RegTech? History, Definitions, and the Compliance Crisis
- Chapter 2: The Regulatory Landscape: Financial Regulation and Its Architecture
- Chapter 3: The RegTech Ecosystem: Players, Platforms, and Market Dynamics
- Chapter 4: Technology Foundations: AI, ML, NLP, and Automation in Compliance
- Chapter 5: Data Architecture for Regulatory Compliance
3
Part 2: Identity, KYC, and AML
7 chapters- Part 2: Identity, KYC, and AML
- Chapter 6: KYC Fundamentals: Identity Verification at Scale
- Chapter 7: AML Transaction Monitoring: Rules-Based vs. AI-Driven Approaches
- Chapter 8: Sanctions Screening: Watchlists, False Positives, and Calibration
- Chapter 9: Beneficial Ownership and Corporate Transparency
- Chapter 10: Customer Risk Rating and Enhanced Due Diligence
- Chapter 11: Suspicious Activity Reporting and Case Management
4
Part 3: Risk Management and Regulatory Reporting
7 chapters- Part 3: Risk Management and Regulatory Reporting
- Chapter 12: Operational Risk and Technology Risk Management
- Chapter 13: Regulatory Reporting — From XBRL to API-Based Reporting
- Chapter 14: Market Risk and the Basel Framework in Practice
- Chapter 15: Credit Risk Modelling and Model Risk Management
- Chapter 16: Stress Testing and Scenario Analysis
- Chapter 17: Data Privacy, GDPR, and Cross-Border Data Compliance
5
Part 4: Trading Compliance and Market Surveillance
6 chapters- Part 4: Trading Compliance and Market Surveillance
- Chapter 18: MiFID II, MiFIR, and Best Execution Compliance
- Chapter 19: Market Surveillance: Detecting Manipulation and Abuse
- Chapter 20: Pre-Trade and Post-Trade Transparency Requirements
- Chapter 21: Algorithmic Trading Controls and Kill Switches
- Chapter 22: Trade Surveillance — Spoofing, Layering, and Front-Running Detection
6
Part 5: Emerging Technologies in RegTech
7 chapters- Part Five: Emerging Technologies in RegTech
- Chapter 23: NLP for Regulatory Intelligence and Horizon Scanning
- Chapter 24: Blockchain, Smart Contracts, and Immutable Audit Trails
- Chapter 25: Machine Learning in Fraud Detection
- Chapter 26: Explainable AI (XAI) and Model Governance
- Chapter 27: Cloud Compliance — Regulatory Requirements for Cloud Adoption
- Chapter 28: RegTech APIs, Open Finance, and Interoperability
7
Part 6: Governance, Ethics, and Law
7 chapters- Part Six: Governance, Ethics, and Law
- Chapter 29: Algorithmic Fairness and Bias in Compliance Systems
- Chapter 30: The EU AI Act and Algorithmic Accountability
- Chapter 31: Regulatory Sandboxes — Innovation Meets Oversight
- Chapter 32: Global RegTech — US, EU, UK, APAC Comparative Landscape
- Chapter 33: Cybersecurity Regulations — DORA, NIST, and Operational Resilience
- Chapter 34: Ethics in Automated Decision-Making
8
Part 7: Strategy and Implementation
6 chapters- Part 7: Strategy and Implementation
- Chapter 35: Building a RegTech Program — Strategy, Governance, and Roadmapping
- Chapter 36: Vendor Selection, Due Diligence, and Implementation Management
- Chapter 37: Change Management for Compliance Transformation
- Chapter 38: RegTech ROI — Measuring and Communicating Compliance Efficiency
- Chapter 39: The Future of RegTech — SupTech, Digital Regulation, and What's Next
9
Part 8: Capstone
5 chapters10
Appendices
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