Module 7: Compliance

How do we keep finance safe and fair?

4Lessons 16PDFs 4Notebooks

Lessons

Learning Objectives

  • Implement a risk-based AML/KYC workflow and explain customer due diligence tiers
  • Evaluate RegTech tools for automated reporting, screening, and surveillance
  • Compare regulatory approaches to crypto, DeFi, and AI (MiCA, DORA, EU AI Act)
  • Design a model risk governance framework following SR 11-7 principles

Related V3 Lessons

V3 Module 1 (FinTech): RegTech, Regulatory Frameworks · V3 Module 2 (Blockchain): Regulation & Future

Module Resources

📋 Summary 🎮 Demo