主题研究集群中心 · 17 核心专题
机构研究主题与专题支柱中心 (Topic Cluster Hubs)
探索 RegTech Codex 旗下的 17 个结构化专题研究集群与 97 篇机构研究简报，全面贯通受监管经纪商档案、金融监管机构名录与多维量化评级榜单。
18 篇简报 · 21 个关联实体
进入专题 →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 篇简报 · 19 个关联实体
进入专题 →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 篇简报 · 18 个关联实体
进入专题 →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 篇简报 · 16 个关联实体
进入专题 →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)
13 篇简报 · 0 个关联实体
进入专题 →Regulatory Compliance
Regulatory Compliance research topics and source records from RegTech Codex. Thailand proposes daily cap on stablecoin deposits and withdrawals: Institutional summary of the primary material (SEC). Cross-reference official supervisory registers for live updates.
- • Thailand proposes $148K daily cap on stablecoin deposits and withdrawals
- • After 900 IT Incidents, BaFin Expands Cybersecurity Oversight, Sets 2030 Encryption Target - Finance Magnates
- • ‘Defiance’ politics risks trapping billions in capital, French regulator warns - TheBanker.com
- • Bowman, Supervisory Modernization After Silicon Valley Bank
- • FSB urgest Turkey to tighten crypto oversight, set stablecoin rules
5 篇简报 · 0 个关联实体
进入专题 →Regulatory and Market Glossary
Regulatory and Market Glossary research topics and source records from RegTech Codex. India's Financial Crimes Agency Searches CoinDCX, Delta Exchange Over Offshore Trades: The Enforcement Directorate alleges the exchanges routed Indian users' trades to Binance, Bybit and others via a Costa Rican shell entity.
- • 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
- • Plus500 says it will meet expectations after quarterly revenue climbs 11%
2 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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 篇简报 · 0 个关联实体
进入专题 →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.