Abstract
Almost all early-stage financial services businesses are motivated to have a comprehensive compliance programme. However, they often need help knowing where to begin. There is much literature on enhancing existing compliance programmes and specific topics such as know your customer or transaction monitoring systems (TMS). This paper delves into the critical components required to build a functioning compliance programme and the fundamental building blocks that will set up a FinTech for long-term success. This paper is comprehensive enough to allow any company focused on financial services to pick and apply key concepts explained in the paper to build a compliance programme. At the same time, it is specific enough to help explain each component in detail so that companies can use this as a guiding principle to set up a compliance programme.
Sign-in/Register to access full text options 
Talk to us
Join us for a 30 min session where you can share your feedback and ask us any queries you have
Schedule a callDisclaimer: All third-party content on this website/platform is and will remain the property of their respective owners and is provided on "as is" basis without any warranties, express or implied. Use of third-party content does not indicate any affiliation, sponsorship with or endorsement by them. Any references to third-party content is to identify the corresponding services and shall be considered fair use under The CopyrightLaw.
