Pôles de Clusters Thématiques · 22 Piliers Thématiques
Thèmes de Recherche Institutionnelle & Pôles Thématiques
Explorez 22 pôles thématiques structurés et 209 notes de recherche sur RegTech Codex, reliés aux dossiers de courtiers régulés, autorités de supervision et classements quantitatifs.
24 Notes · 0 Entités
Ouvrir le Pôle →Regulatory Compliance
Regulatory Compliance research topics and source records from RegTech Codex. SEC's History Undercuts Its 'Back To Basics' Rationale - Law360: SEC's History Undercuts Its 'Back To Basics' Rationale Law360
- • SEC's History Undercuts Its 'Back To Basics' Rationale - Law360
- • tZERO Receives CFTC Approval to Operate Regulated Derivatives... - Quantisnow
- • Once Silenced by the SEC, Now Free to Speak - Cato Institute
- • A New Day at the SEC: Chairman Paul S. Atkins on Materiality, Disclosure Reform and the Road Ahead - Financial Executives International
- • SEC Enforcement Falls to Lowest Level in Decades - Law.com
20 Notes · 22 Entités
Ouvrir le Pôle →Clone Firm Domain Impersonation
Clone Firm Domain Impersonation research topics and source records from RegTech Codex. Supervisory telemetry across IOSCO I-SCAN and FCA warning feeds shows 64% of unauthorized investment alerts in 2026 involve cloned licence numbers paired with domains registered fewer than 90 days prior.
- • Clone-Firm Domain Forensics & Regulatory Register Cross-Verification: 2026 Supervisory Guide
- • IOSCO I-SCAN Global Warning List Aggregation: Taxonomy Reconciliation & Lag Audits
- • Punycode Homograph & IDNA2008 Spoofing: Detecting Lookalike Broker Domains via CT Logs
- • RDAP Domain Age vs Regulatory Licence Grant Dates: Temporal Forensics for Clone Detection
- • FCA Register FRN Cloning & Appointed Representative Hijacking: Supervisory Verification Playbook
20 Notes · 12 Entités
Ouvrir le Pôle →Fatf AML KYC Transaction Monitoring
Fatf AML KYC Transaction Monitoring research topics and source records from RegTech Codex. Global AML enforcement penalties exceeded $4.6 billion across banking, brokerage, and VASP sectors in 2025–2026 as supervisors audited risk-based CDD, UBO control chains, Travel Rule payloads, and SAR narrative rigor.
- • FATF AML/KYC Compliance Playbook 2026: CDD/EDD, Beneficial Ownership, Sanctions & SAR Architecture
- • FATF Recommendation 10 Risk-Based CDD: Multi-Factor Customer Risk Scoring & EDD Triggers
- • Beneficial Ownership 25% vs 10% Thresholds: Indirect Equity Chains & Control Prongs
- • FATF Recommendation 16 & EU TFR 2023/1113: Crypto & Wire Travel Rule Compliance Audits
- • OFAC, EU & UN Sanctions Fuzzy Name Matching: Jaro-Winkler, Phonetics & Recall Audits
20 Notes · 14 Entités
Ouvrir le Pôle →Emir Refit Mifir Trade Reporting
Emir Refit Mifir Trade Reporting research topics and source records from RegTech Codex. Regulatory derivatives and transaction reporting across EU EMIR Refit, UK EMIR, MiFIR Article 26, CFTC Rewrite, and APAC ISO 20022 mandates now demands deterministic XML schema validation, bilateral UTI/UPI synchronization, and automated T+1 reconciliation.
- • EMIR Refit, MiFIR & Global ISO 20022 Trade Reporting Master Guide (2026)
- • ISO 20022 auth.030 XML Schema Validation: Engineering EMIR Refit’s 203 Data Fields
- • Bilateral UTI Generation Waterfall: EMIR Refit ITS Article 7 Tie-Breakers & Pairing SLAs
- • ANNA DSB UPI (ISO 4914) & ISO 10962 CFI Validation for OTC Derivatives Reporting
- • EMIR Refit Inter-TR Pairing, Phase-2 Matching & Valuation Tolerance Bands
20 Notes · 18 Entités
Ouvrir le Pôle →Client Asset Segregation Breaches
Client Asset Segregation Breaches research topics and source records from RegTech Codex. Safeguarding client cash and custody securities against broker insolvency or unauthorized house commingling requires daily internal and external reconciliations, ironclad bank trust acknowledgement letters, and zero-tolerance shortfall funding.
- • Client Money & Asset Segregation Master Guide: FCA CASS 7, SEC 15c3-3 & CFTC 1.20 (2026)
- • FCA CASS 7.15 Daily Internal & External Client Money Reconciliations: Standard vs Non-Standard
- • FCA CASS 7.18 Acknowledgement Letters: Fixed Templates, Set-Off Bans & Repudiation Audits
- • SEC Rule 15c3-3 Daily Customer & PAB Reserve Formula: December 2024 Amendments & Possession/Control
- • CFTC Part 1.20, Part 22 LSOC & Part 30.7: Futures Segregation & Residual Interest Math
20 Notes · 11 Entités
Ouvrir le Pôle →Dora Operational Ict Compliance
Dora Operational Ict Compliance research topics and source records from RegTech Codex. Fully applicable across 22,000+ European financial entities since January 17, 2025, Regulation (EU) 2022/2554 (DORA) replaces fragmented national IT outsourcing guidance with a binding five-pillar law backed by Joint ESA Regulatory Technical Standards and direct CTPP oversight.
- • EU DORA Regulation (EU) 2022/2554 Master Guide: ICT Risk, 4h/72h Reporting, RoI & TLPT (2026)
- • DORA Article 28 & ITS (EU) 2024/2956: 15-Template xBRL-CSV Register of Information Guide
- • DORA Article 19 Major ICT Incident Reporting: RTS 2024/1772 Thresholds & 4h/72h/1m SLAs
- • DORA Article 26 Threat-Led Penetration Testing (TLPT): TIBER-EU Live Production & Purple Teaming
- • DORA Critical ICT Third-Party Providers (CTPPs): Designation Math, Lead Overseers & 1% Daily Fines
18 Notes · 21 Entités
Ouvrir le Pôle →EU MiCA & DORA Compliance
EU MiCA & DORA Compliance research topics and source records from RegTech Codex. The EU Digital Operational Resilience Act (DORA) mandates major ICT incident reporting within 4 hours (Source: Regulation EU 2022/2554, 2025-01-17) and full MiCA CASP authorization by July 1, 2026 (Source: ESMA, 2026-07-01).
- • EU DORA & MiCA Compliance Rules: ICT Incident Reporting, CTPP Oversight & CASP Licensing (2026)
- • EU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (4 Hours Major ICT Incident Alert Benchmark)
- • EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors: Client Asset Segregation, Daily Reconciliation & Insolvency Protection (EUR 150,000 Class 3 Minimum Capital Benchmark)
- • EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors: Official Register Verification Workflow & Clone Firm Red Flags (EUR 150,000 Class 3 Minimum Capital Benchmark)
- • UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation (2 Years Max s21 Statutory Penalty Benchmark)
17 Notes · 19 Entités
Ouvrir le Pôle →Global Enforcement & Licensing Rules
Global Enforcement & Licensing Rules research topics and source records from RegTech Codex. SEC off-channel communications sweeps totaled $2.3 billion across 95 actions (Source: SEC, 2026-04-15), while 17 regulators led by the UK FCA executed a coordinated finfluencer crackdown in April 2026 (Source: FCA, 2026-04-20).
- • Global Regulatory Enforcement 2026: SEC Recordkeeping Fines, FCA Consumer Duty & ASIC/MAS Finfluencer Rules
- • EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (EUR 150,000 Class 3 Minimum Capital Benchmark)
- • EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors: Cross-Border Passporting Rights vs. Reverse Solicitation Boundaries (EUR 150,000 Class 3 Minimum Capital Benchmark)
- • UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Client Asset Segregation, Daily Reconciliation & Insolvency Protection (2 Years Max s21 Statutory Penalty Benchmark)
- • UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Official Register Verification Workflow & Clone Firm Red Flags (2 Years Max s21 Statutory Penalty Benchmark)
16 Notes · 18 Entités
Ouvrir le Pôle →Clone Firm Detection & Register Audits
Clone Firm Detection & Register Audits research topics and source records from RegTech Codex. EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors (EU-MICA-CASP-2026) stands at EUR 150,000 (Class 3 Minimum Capital) (Source: ESMA Regulation (EU) 2023/1114, 2026-10-20), governing recent enforcement…
- • EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation (EUR 150,000 Class 3 Minimum Capital Benchmark)
- • EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors: Retail Conduct Rules: Leverage Caps, Margin Close-Out & Risk Warnings (EUR 150,000 Class 3 Minimum Capital Benchmark)
- • UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Supervisory Reporting Timelines, Technical Standards & Audit Trails (2 Years Max s21 Statutory Penalty Benchmark)
- • UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Third-Party ICT Outsourcing, Register of Information & Exit Plans (2 Years Max s21 Statutory Penalty Benchmark)
- • SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds ($2.3B Cumulative SEC Fines (95 Actions) Benchmark)
15 Notes · 16 Entités
Ouvrir le Pôle →Prudential Capital & Client Money Segregation
Prudential Capital & Client Money Segregation research topics and source records from RegTech Codex. EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors (EU-MICA-CASP-2026) stands at EUR 150,000 (Class 3 Minimum Capital) (Source: ESMA Regulation (EU) 2023/1114, 2026-10-20), governing 4-hour/24-hour
- • EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors: Supervisory Reporting Timelines, Technical Standards & Audit Trails (EUR 150,000 Class 3 Minimum Capital Benchmark)
- • EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors: Third-Party ICT Outsourcing, Register of Information & Exit Plans (EUR 150,000 Class 3 Minimum Capital Benchmark)
- • UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (2 Years Max s21 Statutory Penalty Benchmark)
- • UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway: Cross-Border Passporting Rights vs. Reverse Solicitation Boundaries (2 Years Max s21 Statutory Penalty Benchmark)
- • MiFID II Annex II Elective Professional vs. Retail Client Categorization: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (EUR 500,000 Portfolio Size Criterion (2 of 3) Benchmark)
6 Notes · 0 Entités
Ouvrir le Pôle →Regulatory and Market Glossary
Regulatory and Market Glossary research topics and source records from RegTech Codex. tZERO Gets CFTC Nod for Derivatives Exchange, Hits SPAC Earn-Out Goal - CoinMarketCap: tZERO Gets CFTC Nod for Derivatives Exchange, Hits SPAC Earn-Out Goal CoinMarketCap
- • tZERO Gets CFTC Nod for Derivatives Exchange, Hits SPAC Earn-Out Goal - CoinMarketCap
- • India's Financial Crimes Agency Searches CoinDCX, Delta Exchange Over Offshore Trades
- • Tron and Tether bring in Chainalysis after T3 crime unit folds
- • Bowman, Modernizing the Regulatory and Supervisory Landscape
- • Boeing says it won't significantly ramp up 737 Max production until late 2027
2 Notes · 0 Entités
Ouvrir le Pôle →Market Insights
Market Insights research topics and source records from RegTech Codex. Polymarket US trading volume jumps despite regulatory battles: Institutional summary of the primary material (FCA). Cross-reference official supervisory registers for live updates.
2 Notes · 0 Entités
Ouvrir le Pôle →Compliance
Compliance research topics and source records from RegTech Codex. RegTech compliance codex entry filed 25 October 2026 detailing ESA Implementing Technical Standards (ITS) for DORA Article 28(3) Registers of Information, LEI/EUID hierarchy mapping, and incident reporting timers.
1 Notes · 0 Entités
Ouvrir le Pôle →cybersecurity
cybersecurity research topics and source records from RegTech Codex. NEWS: French bank Credit Mutuel Arkea says €100m missing after cyberattack - AML Intelligence: NEWS: French bank Credit Mutuel Arkea says €100m missing after cyberattack AML Intelligence
1 Notes · 0 Entités
Ouvrir le Pôle →Regulatory Benchmarks
Regulatory Benchmarks research topics and source records from RegTech Codex. Comprehensive 2026 empirical benchmark covering 226 institutions and 342 competent authorities tracked by RegTech Codex, detailing 6D compliance scores, contracting legal entities, and direct register verification.
1 Notes · 0 Entités
Ouvrir le Pôle →Compliance Forensics
Compliance Forensics research topics and source records from RegTech Codex. Practical 2026 due-diligence playbook from RegTech Codex explaining how to authenticate licence numbers across 342 official registers and detect clone-firm domain spoofing before funding an account.
1 Notes · 0 Entités
Ouvrir le Pôle →Solvency and Protection
Solvency and Protection research topics and source records from RegTech Codex. Institutional comparison of statutory investor compensation schemes, daily client-asset segregation rules, and multi-dimensional counterparty risk scores across RegTech Codex's 2026 coverage universe.
1 Notes · 0 Entités
Ouvrir le Pôle →Regtech Compliance
Regtech Compliance research topics and source records from RegTech Codex. Compliance and cybersecurity briefing examining how a compromised DevOps laptop bypassed withdrawal controls in the $6.3 billion Binance breach, attributed with high confidence to North Korea’s TraderTraitor.
1 Notes · 0 Entités
Ouvrir le Pôle →Credit
Credit research topics and source records from RegTech Codex. France’s 10-year yield closed at 5.0160%. Moody’s review was scheduled for after the US close. Those are two public facts. A new rating was not among them when Europe shut.
1 Notes · 0 Entités
Ouvrir le Pôle →Cross-Border Sanctions, Outbound Investment & Digital Asset Compliance
Cross-Border Sanctions, Outbound Investment & Digital Asset Compliance research topics and source records from RegTech Codex. An institutional RegTech dossier examining the October 2026 US Treasury COINS Act (31 CFR Part 850) Outbound Investment NPRM expanding restrictions into biotechnology, AI compute, and quantum systems alongside post-Clarity Act SEC/CFTC and EU MiCA compliance.
1 Notes · 0 Entités
Ouvrir le Pôle →RegTech & Prudential Compliance
RegTech & Prudential Compliance research topics and source records from RegTech Codex. A comprehensive statutory compliance briefing analyzing Regulation (EU) 2022/2554 (DORA) ICT incident reporting and TLPT mandates, Regulation (EU) 2023/1114 (MiCA) Class 1-3 CASP and EMT/ART reserve rules, Regulation (EU) 2023/1113 Travel Rule, and Frankfurt AMLA direct supervision.
1 Notes · 0 Entités
Ouvrir le Pôle →Regulatory Compliance & Licensing
Regulatory Compliance & Licensing research topics and source records from RegTech Codex. Cross-border Virtual Asset Service Provider (VASP) compliance refers to the synchronized execution of cryptographic wire-transfer messaging under FATF Recommendation 16, direct supranational AML supervision under EU Regulation (EU) 2024/1624 (AMLR) and Regulation (EU) 2024/1113 (TFR), and statutory daily client asset segregation reconciliations mandated by the UK FCA CASS 7/CASS 15 and MAS PSN02/CMSA frameworks.