主題研究集群中心 · 17 核心專題
機構研究主題與專題支柱中心 (Topic Cluster Hubs)
探索 RegTech Codex 旗下的 17 個結構化專題研究集群與 94 篇機構研究簡報，全面貫通受監管經紀商檔案、金融監管機構名錄與多維量化評級榜單。
18 篇簡報 · 21 個關聯實體
進入專題 →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 篇簡報 · 19 個關聯實體
進入專題 →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 篇簡報 · 18 個關聯實體
進入專題 →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 篇簡報 · 16 個關聯實體
進入專題 →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)
12 篇簡報 · 0 個關聯實體
進入專題 →Regulatory Compliance
Regulatory Compliance research topics and source records from RegTech Codex. After 900 IT Incidents, BaFin Expands Cybersecurity Oversight, Sets 2030 Encryption Target - Finance Magnates: Institutional summary of the primary material (2030). Cross-reference official supervisory registers for live updates.
- • 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
- • Remarks at the 26th Annual A.A. Sommer Lecture
3 篇簡報 · 0 個關聯實體
進入專題 →Regulatory and Market Glossary
Regulatory and Market Glossary research topics and source records from RegTech Codex. Bowman, Modernizing the Regulatory and Supervisory Landscape: Institutional summary of the primary material (2026). Cross-reference official supervisory registers for live updates.
2 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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 篇簡報 · 0 個關聯實體
進入專題 →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.