Roadmap to Fintech Compliance

If you’re a typical fintech executive, then you’re well-versed when it comes to technology, market trends, and funding.

However, you need specialized knowledge and help when it comes to regulatory compliance.

Did you know your company already has substantial in-house fintech compliance intelligence?

This report will help you understand how to create a regulatory compliance blueprint by using your user experience touchpoints as a guide.

The user experience map sometimes looks more like a pinball game than a linear road map, but it contains valuable data points for building a comprehensive compliance program that transforms chaos into the type of order that makes regulators feel comfortable.

It covers the following User Lifecycle stages, each triggering compliance events and dependencies:

  • Customer Acquisition: Marketing and Advertising in Financial Services

  • Customer Signup: Identification and Due Diligence

  • Customer Onboarding: Electronic Funds Transfers Compliance

  • Customer Monetization: Rules and Limitations Around Fees and Revenue Model

  • Ongoing Services: Compliance Requirements for Transaction Activity

  • Customer Support: Consumer Complaints Processing Requirements

  • Risk Mitigation: Money Laundering, Fraud, and Unauthorized Use Practices

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