Compliance Risk Management

Digital Assets Compliance & Risks

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Programme Overview

Regulators worldwide have introduced regulatory frameworks to regulate digital assets such as digital payment tokens, stablecoins, utility tokens, and digital securities.  Based on blockchain and distributed ledger technology, new business models and players have emerged. The emerging financial landscape including fintech and decentralized finance with new digital/virtual asset classes, new business activities products and services and expanded customer segments and access presents opportunities, rewards and risks with attendant legal, regulatory and compliance considerations.

 

Digital Assets Compliance & Risks course sets out to provide an understanding of digital/virtual asset classes in the fintech ecosystem, and deepen participants’ understanding of the relevant legal, regulatory compliance and risk issues. Participants will be challenged to generate compliance solutions to address these new and emerging risks.

 

Total: 8 CPD hours

Core SFA/FAA CPD: 6 hours

Upcoming Dates

Course

By the end of this course, successful participants will be able to:

 

  • Have an appreciation and overview of fintech activities and their enabling technologies.
  • Describe and explain supervisory expectations and approaches to regulating fintech.
  • Describe and explain the different digital asset classes and players in the ecosystem.
  • Understand the regulatory framework that may be applicable to different types of digital assets.
  • Articulate the key legal, regulatory and compliance risks arising from digital assets.
  • Propose relevant compliance solutions in relation to digital asset classes.

 

The course structure consists of a combination of classroom learning and assessments, with a total duration of 8 hours. The classroom learning component spans 7 hours and 15 minutes, while the assessment portion takes 45 minutes.

 

Graded Course Assessments

The graded course assessments for each module consist of two components: a case study written assessment and an individual multiple-choice question (MCQ) test.

  • The individual case study carries a weightage of 70%.
  • The individual MCQ test carries a weightage of 30%.

 

To be eligible for IBF-STS funding and certification, a minimum passing grade of 60% is required.

Section 1: Legal and Regulatory Framework
Section 2: Regulatory Treatment of Products and Regulated Activities
Section 3: Legal, Compliance and Risks in Connection with Digital Assets

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