This course is part of the FinTech: Finance Industry Transformation and Regulation Specialization

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161 ratings

Garvin Percy DIAS +1 more instructor

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FinTech: Finance Industry Transformation and Regulation SpecializationThe Hong Kong University of Science and Technology

About this Course

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This course “FinTech Risk Management” help you understand risk management and corporate governance in finance industry with the disruption by FinTech and RegTech. You will become more confident to analyse and make recommendations to develop business strategies balancing the risks in operation, reputation and the stability of finance firms.
You will learn about new challenges of compliance with financial requirements and government regulations and how you can deal with these changes, strategies in analysing FinTech risk and how operation risks increase in finance industry in this changing environment. As tech firms are now becoming more like finance firms such as Alibaba, Apple, and Tencent etc., you will learn about the importance of IT compliance and assurance and practical skills in dealing with these changes.

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Shareable Certificate

Earn a Certificate upon completion

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Course 3 of 4 in the

FinTech: Finance Industry Transformation and Regulation Specialization

Beginner Level

Approx. 15 hours to complete

English

Subtitles: Arabic, French, Portuguese (European), Chinese (Simplified), Italian, Vietnamese, German, Russian, English, Spanish

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Flexible deadlines

Reset deadlines in accordance to your schedule.

Shareable Certificate

Earn a Certificate upon completion

100% online

Start instantly and learn at your own schedule.

Course 3 of 4 in the

FinTech: Finance Industry Transformation and Regulation Specialization

Beginner Level

Approx. 15 hours to complete

English

Subtitles: Arabic, French, Portuguese (European), Chinese (Simplified), Italian, Vietnamese, German, Russian, English, Spanish

Could your company benefit from training employees on in-demand skills?

Try Coursera for Business

Instructors

Instructor rating

4.68/5 (39 Ratings)

Garvin Percy DIAS

Associate Professor of Business Education

Information Systems, Business Statistics and Operations Management Department

60,930 Learners

3 Courses

Theodore Henry King CLARK

Associate Professor

Information Systems, Business Statistics and Operations Management Department

55,580 Learners

8 Courses

Offered by

The Hong Kong University of Science and Technology

HKUST - A dynamic, international research university, in relentless pursuit of excellence, leading the advance of science and technology, and educating the new generation of front-runners for Asia and the world.

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Syllabus - What you will learn from this course

Week

Week 1

3 hours to complete

Compliance with financial requirements & government regulations

In this module, we will focus on the financial perspective of FinTech compliance and assurance. Failure to comply with regulations can result in large fines as well as business failures. However, financial compliance is only one part of risk management for FinTech firms.

3 hours to complete

9 videos (Total 99 min), 2 readings, 1 quiz

9 videos

1.1 Course & Week 1 Overview8m

1.2 Finance Regulation & Compliance: Foundations & History (Part 1)11m

1.3 Finance Regulation & Compliance: Foundations & History (Part 2)19m

1.4 Financial Compliance Challenges11m

1.5 Risks & Opportunities of Avoiding or Bypassing Regulations10m

1.6 Compliance regarding Crypto and ICOs10m

1.7 Security, Monitoring Compliance & Data Protection Policies11m

1.8 Compliance to Tax & Control10m

1.9 Week 1 Summary5m

2 readings

Course Outline10m

Assignments & Grading10m

1 practice exercise

Week 1 Quiz20m

Week

Week 2

3 hours to complete

FinTech Compliance with corporate governance: Objectives, guidelines,& policy

In this module, we examine different types of risks and explain why operational risks and business risks are becoming more important to FinTech firms. The second, third and fourth derivatives for different types of risks are explained and compared. Techniques and tools for risk analysis and internal controls are also described.

3 hours to complete

11 videos (Total 106 min), 1 reading, 2 quizzes

11 videos

2.1 Week 2 Overview3m

2.2 Introduction to FinTech Risks11m

2.3 FinTech Operational Risk Examples10m

2.4 Strategy for Implementing Corporate Governance to FinTech Risks Part 19m

2.5 Strategy for Implementing Corporate Governance to FinTech Risks Part 29m

2.6 Risk Management & Fraud Avoidance11m

2.7 Introduction to Risk Analysis9m

2.8 Risk Management Process I8m

2.9 Risk Management Process II9m

2.10 Internal Controls11m

2.11 Week 2 summary10m

1 reading

Risk Assessment Template10m

2 practice exercises

Practical exercise: Data breach internal controls30m

Week 2 Quiz20m

Week

Week 3

2 hours to complete

IT Compliance & Assurance Part 1

In this module, learners will gain a overall IT perspective of business application development and compliance in this area. We will examine 3 different system changeover methods when implementing new system & replacing the old system and the comparison. Also we will look into the risks associate with new system development and compliance of change management process.

2 hours to complete

10 videos (Total 95 min)

Week

Week 4

2 hours to complete

IT Compliance & Assurance Part 2

In this module, learners will gain an overall picture of business continuity plan and disaster recovery plan. It's essential to plan ahead before something bad happen to the systems (e.g. Data breach or cyber hacking) We will discuss the process of creating a business continuity plan for an organisation and the strategies in data back up and restoration policy.

2 hours to complete

11 videos (Total 107 min)

11 videos

4.1 Week 4 Overview6m

4.2 Business Continuity Plan and Disaster Recovery10m

4.3 Business Continuity Plan Step 1-28m

4.4 Business Continuity Plan Step 211m

4.5 Process of Business Impact Analysis6m

4.6 Business Continuity Plan Step 3 Part 111m

4.7 Business Continuity Plan Step 3 Part 29m

4.8 Business Continuity Plan Step 411m

4.9 Business Continuity Plan Step 5-710m

4.10 Data Backup & Restoration Policy9m

4.11 Week 4 Summary10m

1 practice exercise

Week 4 Quiz20m

Reviews

4.7

48 reviews

5 stars
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3 stars
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2 stars
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1 star
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TOP REVIEWS FROM FINTECH RISK MANAGEMENT

by SKOct 21, 2018

Great course for Basel Regulatory consultants and banking C level leaders.

Thank you..

by SDJul 20, 2019

A quick guide to regulatory and IT risks related to fintech. Thanks to Prof Percy and Clark for putting together such good work.

by JOJan 20, 2021

Really like the way prof. Clark teaches his classes.

by SSMay 24, 2019

thank you so much. i really got benefit from this course and from the simple way explanation all things about Fintech

View all reviews

About the FinTech: Finance Industry Transformation and Regulation Specialization

Objective

This Specialization is intended for finance professional who are seeking to develop skills and understanding of FinTech. Through these four courses, you will cover FinTech foundations and overview, FinTech security and regulation (RegTech), FinTech risk management and FinTech disruptive innovation: implications to society, which will prepare you to become more confident and persuasive in your ability to analyze and make decisions regarding how to react to these changes. Key Benefits You will earn a FinTech specialization certificate offered by the HKUST and Coursera after completing all four courses. You can add to your resume and Linkedin profile which can benefit to your career in finance industry. Also you will gain knowledge and insights in FinTech for your current and future career development in Finance industry. Who is this Specialization for? Everyone who is interested in FinTech and wants to learn more is welcome and will benefit from this course, and is useful for finance executives, government officers, entrepreneurs, consumers and investors of FinTech. To know more... Find out more and watch the FinTech specialization promotional video on Youtube. https://youtu.be/MmqNLp4iuZE

FinTech: Finance Industry Transformation and Regulation

Frequently Asked Questions

When will I have access to the lectures and assignments?
Access to lectures and assignments depends on your type of enrollment. If you take a course in audit mode, you will be able to see most course materials for free. To access graded assignments and to earn a Certificate, you will need to purchase the Certificate experience, during or after your audit. If you don't see the audit option:
The course may not offer an audit option. You can try a Free Trial instead, or apply for Financial Aid.
The course may offer 'Full Course, No Certificate' instead. This option lets you see all course materials, submit required assessments, and get a final grade. This also means that you will not be able to purchase a Certificate experience.
What will I get if I subscribe to this Specialization?
When you enroll in the course, you get access to all of the courses in the Specialization, and you earn a certificate when you complete the work. Your electronic Certificate will be added to your Accomplishments page - from there, you can print your Certificate or add it to your LinkedIn profile. If you only want to read and view the course content, you can audit the course for free.
Is financial aid available?
Yes. In select learning programs, you can apply for financial aid or a scholarship if you can’t afford the enrollment fee. If fin aid or scholarship is available for your learning program selection, you’ll find a link to apply on the description page.

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