Ítem
Acceso Abierto

RegTech: monitoreo y seguimiento de la actividad financiera en la era digital

dc.creatorUseche Arévalo, Alejandro José
dc.creatorPérez, Juan Fernando
dc.creatorAlayón, José Luis
dc.date.accessioned2023-03-17T15:42:09Z
dc.date.available2023-03-17T15:42:09Z
dc.date.created2022
dc.date.issued2022
dc.descriptionEl Autorregulador del Mercado de Valores (AMV) y la Universidad del Rosario han desarrollado de manera conjunta el documento de investigación “RegTech: monitoreo y seguimiento de la actividad financiera en la era digital”. Este documento tiene por objetivo desarrollar los principales aspectos relacionados con la aplicación de los sistemas de aprendizaje automático a las actividades de monitoreo y seguimiento en los mercados de valores y divisas, teniendo en cuenta la experiencia internacional y local.es
dc.format.extent47 pp
dc.format.mimetypeapplication/pdfes
dc.identifier.isbn978-958-784-944-8es
dc.identifier.urihttps://repository.urosario.edu.co/handle/10336/38254
dc.language.isospa
dc.publisherEditorial Universidad del Rosario
dc.publisherAutoregulador del Mercado de Valores de Colombia
dc.publisher.departmentAdministración de Empresases
dc.relation.isversionof1es
dc.relation.urihttps://www.amvcolombia.org.co/wp-content/uploads/2022/08/Documento-RegTech-VF.pdfes
dc.rightsAtribución-NoComercial-SinDerivadas 2.5 Colombia*
dc.rights.accesRightsinfo:eu-repo/semantics/openAccesses
dc.rights.accesoAbierto (Texto Completo)
dc.rights.urihttp://creativecommons.org/licenses/by-nc-nd/2.5/co/*
dc.source.bibliographicCitationAnagnostopoulos, I. (2018). Fintech and RegTech: Impact on regulators and banks. Journal of Economics and Business, 100(2018), 7-25.es
dc.source.bibliographicCitationArner, D. W., Barberis, J. N, & Buckley, R. (2016). The evolution of Fintech: A new post-crisis paradigm? SSRN Electronic Journal, 47(4),1271-1319.es
dc.source.bibliographicCitationArner, D. W., Zetzsche, D. A., Buckley, R. P., & Weber, R. H. (2020). The future of data-driven finance and RegTech: Lessons from EU big bang II. Stanford Journal of Law, Business & Finance, 25(2), 245-288.es
dc.source.bibliographicCitationBarefoot, J. A. (2020). Digitizing financial regulation: RegTech as a solution for regulatory inefficiency and ineffectiveness [M-RCBG Associate Working Paper Series 150]. Harvard Kennedy School, Mossavar-Rahmani Center for Business & Government. https://www.hks.harvard.edu/ sites/default/files/centers/mrcbg/files/AWP_150_final.pdfes
dc.source.bibliographicCitationBasel Committee on Banking Supervision. (2018). Sound practices: Implications of fintech developments for bank and bank supervisors [whitepaper]. Bank for International Settlements. https://www.bis.org/bcbs/ publ/d431.pdfes
dc.source.bibliographicCitationBecker, M., Merz, K., & Buchkremer, R. (2020). RegTech: The application of modern information technology in regulatory affairs. Areas of interest in research and practice. Intelligent Systems in Accounting, Finance and Management, 27(4), 161-167.es
dc.source.bibliographicCitationBoreiko, D., & Massarotti, F. (2020). How risk profiles of investors affect robo- advised portfolios. Frontiers in Artificial Intelligence, 3(60). https:// www.frontiersin.org/articles/10.3389/frai.2020.00060/fulles
dc.source.bibliographicCitationBrancatelli, A. (2018). Fintech, Regtech and impact on in-house legal departments. International In-house Counsel Journal, 11(42), 1-8.es
dc.source.bibliographicCitationBrand, V. (2020). Corporate whistleblowing, smart regulation and Regtech: The coming of the whistlebot? UNSW Law Journal, 43(3), 801- 826.es
dc.source.bibliographicCitationColombia Fintech. (2021). Miembros. https://www.colombiafintech.co/ miembros#asociadoses
dc.source.bibliographicCitationCommodity Futures Trading Commission (CFTC). (2021). LabCFTC. https:// www.cftc.gov/LabCFTC/index.htmes
dc.source.bibliographicCitationDeloitte. (2016). Regtech, el lado B de la innovación [whitepaper]. https:// www2.deloitte.com/content/dam/Deloitte/ar/Documents/financial- services/Reg_Tech_El-Lado_B_de_la_innovaci%C3%B3n.pdfes
dc.source.bibliographicCitationDi Castri, S., Hohl, S., Kulenkampff, A., & Prenio, J. (2019). The suptech generations [FSI insights on policy implementation 19]. Financial Stability Institute (FSI), Bank for International Settlements (BIS). https://www.bis. org/fsi/publ/insights19.pdfes
dc.source.bibliographicCitationEnriques, L. (2017). Financial supervisors and Regtech: Four roles and four challenges. Revue Trimestrielle de Droit Financier, 53(2017), 1-9.es
dc.source.bibliographicCitationErnst & Young. (2016). UK FinTech census: The voice of FinTech [report]. EY, HM Treasury, Innovate Finance. http://www.ey.com/Publication/vwLUAssets/ EY-UK-FinTech-Census-2017/$FILE/EY-UK-FinTech-Census-2017.pdfes
dc.source.bibliographicCitationErnst & Young. (2019). Cómo confiar en la máquina: Usar inteligencia artificial para combatir el lavado de dinero. https://www.ey.com/ es_co/trust/how-to-trust-the-machine--using-ai-to-combat-moneylaunderinges
dc.source.bibliographicCitationEuropean Banking Authority (EBA). (2018). Guidelines on institutions’ stress testing [final report]. https://www.eba.europa.eu/sites/default/documents/ files/documents/10180/2282644/2b604bc8-fd08-4b17-ac4a-cdd5e662b802/ Guidelines%20on%20institutions%20stress%20testing%20 %28EBA-GL-2018-04 %29.pdf?retry=1es
dc.source.bibliographicCitationEuropean Banking Institute. (EBI). (2019). A regulatory sandbox for robo advice. EBI Working Paper Series 26. https://papers.ssrn.com/sol3/papers. cfm?abstract_id=3188828es
dc.source.bibliographicCitationEuropean Parliament. (2014, 15 de mayo). Directive 2014/65/EU of the European Parliament and of the Council. https://eur-lex.europa.eu/ legal-content/en/TXT/?uri=CELEX:32014L0065es
dc.source.bibliographicCitationEuropean Parliament. (2015, 20 de mayo). Directive (EU) 2015/849 of the European Parliament and of the Council. https://eur-lex.europa.eu/ legal-content/EN/TXT/?uri=celex%3A32015L0849es
dc.source.bibliographicCitationFinancial Conduct Authority (FCA). (2018a). Call for input: Using technology to achieve smarter regulatory reporting [report]. https://www.fca. org.uk/publication/call-for-input/call-for-input-smarter-regulatory-repor ting.pdfes
dc.source.bibliographicCitationFinancial Conduct Authority (FCA). (2018b, abril). Discussion paper on distributed ledger technology, DP17/3. https://www.fca.org.uk/publication/ discussion/dp17-03.pdfes
dc.source.bibliographicCitationFinancial Conduct Authority (FCA). (2019). Global Financial Innovation Network (GFIN). https://www.fca.org.uk/firms/innovation/global-financial- innovation-networkes
dc.source.bibliographicCitationFinancial Conduct Authority (FCA). (2020). Digital regulatory reporting, phase 2, viability assessment [report]. https://www.fca.org.uk/publication/ discussion/digital-regulatory-reporting-pilot-phase-2-viability-assessment. pdfes
dc.source.bibliographicCitationFinancial Industry Regulatory Authority (FINRA). (2018). How the cloud has revolutionized FINRA technology. FINRA Unscripted, Ep. 12. https://www. finra.org/media-center/finra-unscripted/how-cloud-has-revolutionized- finra-technologyes
dc.source.bibliographicCitationFinancial Industry Regulatory Authority (FINRA). (2021). FINRA API Developer Center. https://developer.finra.org/es
dc.source.bibliographicCitationFinancial Stability Board (FSB). (2017). Artificial intelligence and machine learning in financial services: Market developments and financial stability implications [report]. https://www.fsb.org/wp-content/uploads/ P011117.pdfes
dc.source.bibliographicCitationFinnovista. (2020). Fintech Radar Colombia 2020. https://www.finnovista. com/radar/el-numero-de-stes
dc.source.bibliographicCitationFintech Global. (2022). RegTech funding more than doubled in 2021, led by large cybersecurity deals. https://member.fintech.global/ 2022/01/12/regtech-funding-more-than-doubled-in-2021-led-bylarge- cybersecurity-deals/es
dc.source.bibliographicCitationForbes. (2019). Rise of the chief ethics officer. (5). https://www.forbes.com/ sites/insights-intelai/2019/03/27/rise-of-the-chief-ethics-officer/?sh=18e- 60c015abaes
dc.source.bibliographicCitationFreij, A. (2020). Using technology to support financial services regulatory compliance: Current applications and future prospects of regtech. Journal of Investment Compliance, 21(2/3), 181-190.es
dc.source.bibliographicCitationFreij, A. (2020). Using technology to support financial services regulatory compliance: Current applications and future prospects of regtech. Journal of Investment Compliance, 21(2/3), 181-190.es
dc.source.bibliographicCitationGold, N. A., & Kursh, S. R. (2017). Counterrevolutionaries in the financial services industry: Teaching disruption - a case study of RoboAdvisors and incumbent responses. Business Education Innovation Journal, 9 (1), 139-146.es
dc.source.bibliographicCitationHugé, F. K., Duprel, C., & Pescatore, G. (2017). The promise of RegTech. Elevating regulatory risk management in the financial industry to an effective business management practice. Inside Magazine (European Union Edition), 46-51. http://www.gaco.gi/images/pdf/2017-june/luthe- promise-regtech-27032017.pdfes
dc.source.bibliographicCitationJuniper Research. (2017, 24 de julio). Chatbot conversations to deliver $8 billion in cost savings by 2022. https://www.juniperresearch.com/ new-trending/analystxpress/july-2017/chatbot-conversations-to-deliver- 8bn-cost-savinges
dc.source.bibliographicCitationLaybats, C., & Davies, J. (2018). GDPR: Implementing the regulations. Business Information Review, 35(2), 81-83.es
dc.source.bibliographicCitationLeo, M., Sharma, S., & Maddulety, K. (2019). Machine learning in banking risk management: A literature review. Risks, 7(29), 1-22.es
dc.source.bibliographicCitationManyika, J., Silberg, J., & Presten, B. (2019, 25 de octubre). What do we do about the biases in AI? Harvard Business Review. https://hbr. org/2019/10/what-do-we-do-about-the-biases-in-aies
dc.source.bibliographicCitationMicheler, E., & Whaley, A. (2020). Regulatory technology: Replacing law with computer code. European Business Organization Law Review, 21, 349-377.es
dc.source.bibliographicCitationOffice of Financial Research (OFR). (2015). 2015 financial stability report. https://www.financialresearch.gov/financial-stability-reports/2015-financial- stability-report/es
dc.source.bibliographicCitationPackin, N. G. (2018). Regtech: Compliance and technology judgement rule. Chicago-Kent Law Review, 93(1), 193-218.es
dc.source.bibliographicCitationPortafolio. (2020, 5 de agosto). Interacciones con chatbots aumentaron 380 %. https://www.portafolio.co/tendencias/interacciones-con-chatbots- aumentaron-380-543397es
dc.source.bibliographicCitationProrokowski, L., & Prorokowski, H. (2015). Solutions for risk data compliance under BCBS 239. Journal of Investment Compliance, 16(4), 66-77.es
dc.source.bibliographicCitationRepública de Colombia, Ministerio de Hacienda y Crédito Público. (2020). Decreto 1234 de 2020, por medio del cual se adiciona el Decreto 2555 de 2010 en lo relacionado con el espacio controlado de prueba para actividades de innovación financiera. https://www.funcionpublica. gov.co/eva/gestornormativo/norma.php?i=142005es
dc.source.bibliographicCitationSecurities and Exchange Commission (SEC). (2010). Rule 15c3-5, risk management controls for brokers or dealers with market access. https:// www.sec.gov/rules/final/2010/34-63241.pdfes
dc.source.bibliographicCitationSemko, R. (2019). Machine learning for robo-advisors: Testing for neurons specialization. Investment Management and Financial Innovations, 16(4), 2015-214.es
dc.source.bibliographicCitationSuperintendencia Financiera de Colombia. (1995). Circular Básica Contable y Financiera, Circular Externa 100 de 1995. https://www.superfinanciera.gov. co/inicio/normativa/normativa-general/circular-basica-contable-y-financiera- circular-externa--de---15466es
dc.source.bibliographicCitationSuperintendencia Financiera de Colombia. (2014). Circular Básica Jurídica, Circular Externa 029 de 2014. https://www.superfinanciera.gov.co/inicio/ normativa/normativa-general/circular-basica-juridica-ce----10083443es
dc.source.bibliographicCitationSuperintendencia Financiera de Colombia. (2021). InnovaSFC. https://www. superfinanciera.gov.co/jsp/10097165es
dc.source.bibliographicCitationToronto Centre. (2017, agosto). FinTech, RegTech and SupTech: What they mean for financial supervision. https://res.torontocentre.org/guidedocs/Fin- Tech%20RegTech%20and%20SupTech%20-%20What%20They%20Mean%20 for%20Financial%20Supervision%20FINAL.pdfes
dc.source.bibliographicCitationUseche, A. J., & Cano, J. (2019). Robo-Advisors: Asesoría automatizada en el mercado de valores. AMV/Editorial Universidad del Rosario. https://www. amvcolombia.org.co/wp-content/uploads/2019/02/Robo-Advisors-Final.pdfes
dc.source.bibliographicCitationUseche, A. J., & Juárez, F. (2020). La revolución FinTech: Transformación digital del sector financiero y el ecosistema de los negocios. En V. Gauthier-Umaña, R. A. Méndez-Romero, & D. Suárez (Eds.), Voces diversas y disruptivas en tiempos de revolución 4.0 (pp. 39-60). Editorial Universidad del Rosario.es
dc.source.bibliographicCitationValkanov, N. (2020). The symbiosis “Fintech-Regtech-Suptech” or vision for hightech financial regulation. En Economic science, education and the real economy: Development and interactions in the digital age (tomo 1, vol. 1, pp. 173-185). Publishing House Science and Economics Varna.es
dc.source.bibliographicCitationvan Liebergen, B. (2017). Machine learning: A revolution in risk management and compliance? Journal of Financial Transformation, 45(April), 60-67.es
dc.source.bibliographicCitationZetzsche, D. A., Buckley, R. P., Barberis, J. N., & Arner, D. W. (2017). Regulating a revolution: From regulatory sandboxes to smart regulation. Fordham Journal of Corporate and Financial Law, 23(1), 31-104.es
dc.source.bibliographicCitationZetzsche, D. A., Arner, D. W., Buckley, R. P., & Tang, B. (2020). Artificial intelligence in finance: Putting the human in the loop. Centre for Finance, Technology and Entrepreneurship. https://papers.ssrn.com/sol3/papers.cfm?abstract_ id=35317es
dc.source.instnameinstname:Universidad del Rosariospa
dc.source.reponamereponame:Repositorio Institucional EdocURspa
dc.subjectFinanzases
dc.subjectInnovaciones tecnológicases
dc.subjectIndustria de servicios financieroses
dc.subjectIndustria de servicios financieroses
dc.subjectLegislaciónes
dc.subjectSupervisión estatales
dc.subjectTecnología y derechoes
dc.titleRegTech: monitoreo y seguimiento de la actividad financiera en la era digitales
dc.typebook
dc.type.hasVersioninfo:eu-repo/semantics/publishedVersion
dc.type.spaLibroes
Archivos
Bloque original
Mostrando1 - 1 de 1
Cargando...
Miniatura
Nombre:
Regtech_guia-Version final.pdf
Tamaño:
3.9 MB
Formato:
Adobe Portable Document Format
Descripción:
Colecciones