5a. ALL – The Impact of Digital Assets on Your Compliance Program


Technological advances have given rise to novel tech focused financial services products. This panel focuses on education and awareness surrounding digital assets, including cryptocurrencies, and security tokenization. Particular focus will be on how products and initiatives are evolving and can impact a firm’s compliance and risk management programs.
Learning Objectives:
• Explore the key features of blockchain, initial coin offerings (“ICO”), cryptocurrencies and security tokenization
• Discuss the business and regulatory impact of new distributions channels such as tZero, The Elephant, Funderbeam and the Causam Exchange and the securitization of digital assets
• Assess necessary policies, procedures, training, and education in accordance with the most recent regulatory guidance
• Examine the possible regulatory and compliance impact of introducing digital assets into your firm’s business model

Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 10:00 am - 11:15 am

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