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You are here: Home / Archives for Financial Services Regulation / Regulation & Compliance

May 25 2017

What to Consider before starting a Fintech Venture

What to Consider before starting a Fintech Venture

A Fintech venture is exciting, regardless of whether you are a startup or an incumbent looking to diversify into this new disruptive space.  That said, launching a Fintech venture is a challenging task that needs to be approached with careful strategy and planning. It’ll come as no surprise when I say that the current financial […]

Written by Jay Tikam · Categorized: Alternative Finance, Financial Entrepreneur, Financial Services, Financial Services Regulation, Fintech, Fintech Valuation, Growing the Business, Growth, Regulation & Compliance, Starting a Business · Tagged: challenges, Financial Sector, Financial Services, Financial Services Business, Financial Services Firms, Financial Technology, Fintech Entrepreneur, Fintech venture, Innovate Finance, what to consider

Dec 09 2016

Fintech Firms: Don’t underestimate regulation

Fintech Firms: Don’t underestimate regulation

Its easy for high growth Fintech firms to get so caught up in what is fueling their growth, that its easy to overlook detail.  Regulation is one of these details that can be missed, if these firms don’t have a solid foundation and systems to ensure that they always stay on top of a complex […]

Written by Jay Tikam · Categorized: Alternative Finance, Compliance, FCA Authorisation, FCA Authorisation for Fintech, Financial Services Regulation, Fintech, Insurance, Regulation & Compliance · Tagged: Alternative Finance, Alternative Finance Regulations, Compliance, Financial Technology, Regulation & Compliance, Regulations, Risk Management

Oct 15 2016

How to Launch without FCA Authorisation

How to Launch without FCA Authorisation

Launch without FCA License. How can you launch without FCA Authorisation.  The Financial Services and Markets Act (FSMA) says any firm or individual who carries out a regulated activity in the UK (this includes dual-regulated firms) must be authorised or registered by them, unless they are exempt. Any financial services firm can launch without FCA Authorisation, […]

Written by Jay Tikam · Categorized: Alternative Finance, FCA Applications, FCA Authorisation, FCA Authorisation for Fintech, Financial Services Regulation, Fintech, Regulation & Compliance · Tagged: FCA Authorisation, FCA Registration Process, Launch Strategy

Dec 22 2015

Why the Fintech Market is So Lucrative – Proving the Business Case

Why the Fintech Market is So Lucrative – Proving the Business Case

The Fintech market is really hot right now! Why is this the case?  In this article we explore the business case for why the Fintech market is so lucrative.   How Big is  this Market The first thing that caught our eye is the fact that venture capitalists are so aggressively chasing the Fintech sector, indicating […]

Written by Jay Tikam · Categorized: Compliance, Crowdfunding, Fintech, Investment Management, Regulation & Compliance, Risk & Compliance Director, Starting a Business · Tagged: Alternative Fin, crowdfunding, FIntech, innovative finance, peer to peer lending

Nov 05 2015

Basel III Rules Fuel Alternative Finance

Basel III Rules Fuel Alternative Finance

In the last article, we explored how marketplace lenders could attract Basel III type rules.  Staying on the subject of Basel III, we believe that they are the very rules that are in fact fueling alternative finance such as peer to peer and marketplace lending. In this article, we look at things from the other […]

Written by Jay Tikam · Categorized: Alternative Finance, Banking, Peer-to-Peer Lending, Regulation & Compliance · Tagged: Alternative Finance, Alternative Financing, Bank Regulation, Banking, Basel III rules, Capital Requirement, Peer-to-peer Lending

Oct 23 2015

Marketplace Lending could attract Basel III type Rules?

Marketplace Lending could attract Basel III type Rules?

Marketplace lending is one of the biggest success stories in financial services.  The alternative finance providers facilitate loans, for borrowers, directly from investors who are looking for a higher returns.  Also known as peer to peer lenders, the technology led new age lenders  stepped in where banks left a huge gaping void. The outcome has […]

Written by Jay Tikam · Categorized: Alternative Finance, Alternative Investments, Peer-to-Peer Lending, Regulation & Compliance · Tagged: Basel III, marketplace lending

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