12b. ALL – The Impact of Digital Assets on Your Compliance Program (Intermediate)

Technological advances have given rise to new and novel tech focused financial services products. This panel focuses on education and awareness surrounding digital assets including blockchain, and cryptocurrency. Particular focus will be on how products and initiatives are evolving and impacting a firm’s go-to market strategy and ultimately its compliance and risk management programs.

Learning Objectives:

  • Explore the key features about blockchain, initial coin offerings (ICO) and cryptocurrencies
  • Discuss the unique custody and AML issues relating to blockchain, digital currencies and digital securities
  • Assess necessary policies, procedures, training and education in accordance with the most recent regulatory advice for these that are needed for your firm to mitigate risk
  • Understand the approaches for experimentation and implementing these new tech advance product offerings


Sponsored by:

Intermediate                        Program Level: Date: October 21, 2020 Time: 3:45 pm - 5:00 pm Michelle Canela Elin Cherry Lacey Shrum

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