Overview of FinTech Regulation and Compliance

SKU: FINTECH2700

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About This Course

Companies that utilize new technology to automate and improve the delivery of financial services, known as FinTech, face many challenges.

This CLE course will explain the core principles and regulatory issues in the US which govern the primary aspect of financial services such as funds, securities, money transition, commodities, anti-money laundering and even basic banking. The course is primarily geared to attorneys, but anyone interested in FinTech has a lot to gain.

Lecturer Bio

Charles A. Christofilis, Esq

Charles is the General Counsel of CoinZoom Exchange and CZ Securities. Charles is an experienced General Counsel, CCO and AML Officer with a proven track record of developing, implementing, and running successful compliance and AML programs, including developing and automating compliance programs for new FinTech companies.

He was the Chief Compliance Officer of several of the largest Investment Advisers in the world, more recently was the General Counsel and Chief Compliance Officer of several of the earliest entrants into the Crypto Asset space and is the author of the bestselling book Crypto Asset & ICO Governance, Risk Management & Compliance.

Charles earned a Juris Doctor (law degree) from the Touro Law Center in New York, an MBA from the University of San Francisco, a bachelor’s degree from Pace University in New York City, is a Certified Anti-Money Laundering Specialist (CAMS) and is a member of the New York Bar, New Jersey Bar and Utah Bar. He currently holds FINRA Series 7, 24, 27, 79 and 63 Securities Licenses and previously held Series 3, 87 and 65 Licenses.

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Overview of FinTech Regulation and Compliance

Choose Your State

About This Course

Choose Your State

Build a Bundle

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Individual Courses

United Makes CLE Easy

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