Preface

D. R. Maurice

Preface

Contents
Contents

Foreword

Preface

Preface

Introduction: Suptech/regtech defined: Payments, sandboxes and beyond

1.

The uncertain prudential treatment of cryptoassets

2.

US regulatory certainty versus uncertainty for crypto and blockchain

3.

Bermuda: Suptech and regtech supporting the risk-based approach

4.

Suptech: A new era of supervisory philosophy

5.

Cloud computing in the financial sector: A global perspective

6.

DeFi protocol risks: The paradox of cryptofinance

7.

IT transformation in the Prudential Authority of South Africa: A case study

8.

Making the vision a reality: Perspectives from the Monetary Authority of Singapore

9.

Lessons from Hong Kong through the lens of the HKMA

10.

Technological change: Is it different this time?

11.

The ECB’s suptech innovation house: Paving the way for digital transformation of banking supervision

12.

China’s financing opening up and regulatory convergence with the world

13.

Disclosures and market discipline: The promise of regtech

14.

Regtech and new derivatives developments

15.

Fintech and regtech: Leading the evolution and regulation of alternative investments

16.

The role of artificial intelligence and big data in investment management

17.

The promise and challenges of machine learning in finance

18.

Data privacy and alternative data

19.

Digital ID and financial inclusion

20.

Strategic technology: Regulation and innovation of CBDCs

21.

Regulatory sandboxes: Innovation and financial inclusion

22.

Technology and sandbox development innovation in a transitional market: A case study

23.

Developing the regulatory ecosystem: The evolution of stablecoin

24.

Central bank digital currency, regtech and suptech

25.

Digital dollar: Cryptocurrency for everyday commerce

26.

CFTC regtech implications for virtual currency trading

27.

Fintech, regtech, suptech and central bank decision making

Regtech, Suptech and Beyond: Innovation in Financial Services is this editor’s third technological risk compendium published by Risk Books. Each highlights the progression of digital transformation and operational risk mitigation techniques impacting regulators, and regulated and non-regulated entities. In terms of new supervisory and regulatory oversight challenges, this book addresses the continuum of business opportunities and risk management techniques that mirror increasingly complex technological advances. As noted in the chapters from a range of global thought leaders and practitioners, this book offers advanced insights on the intersection of regulatory policy and technology.

The inspiration in developing this book comes from two decades of regulatory and progressively-senior risk management experience. My career as an investment banker and asset manager in New York, San Francisco and London mandated the use of technological advancements for timely evaluation of regulatory developments and enterprise risk. Innovation, with the regtech and suptech solutions described in this book, provides new prospects for supervisory and regulatory oversight, as well as new

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