Finance and Banking

Managing Regulatory Compliance for Financial Digital Asset Platforms

An applied course in digital asset platform compliance built around the decisions practitioners actually face.

  • 5training days
  • 4modules
  • 8sessions
  • 32topics
View packages and pricesCourse outline
Managing Regulatory Compliance for Financial Digital Asset Platforms
5days

About the programme

Course Overview

In finance the difference between a healthy position on digital asset platform compliance and a dangerous one is often a single assumption. Capital, liquidity and reputation are all exposed by weak handling of platform compliance. The result is the confidence to make and defend decisions about this strand of financial and banking practice under scrutiny. It is designed for mixed groups, so that digital asset platform compliance is examined from more than one functional angle. The programme converts this aspect of financial and banking practice from an area of general awareness into a set of repeatable practices. Every module pairs a short input on platform compliance with structured practice on the participant's own material. Where digital asset platform compliance is measured, it improves; where it is only discussed, it drifts. Plans for platform compliance often fail at the handover point between functions. It closes by agreeing the smallest change to the financial and banking practice discipline that would make a visible difference.

Expected Learning Outcomes

  • Document the approval chain for exceptions to policy on digital asset platform compliance.

  • Structure records of platform compliance so that they answer the questions an auditor will actually ask.

  • Set the minimum documentation for digital asset platform compliance that is genuinely necessary, and stop there.

  • Stress test platform compliance against scenarios that are plausible rather than comfortable.

  • Build the client due diligence and monitoring appropriate to digital asset platform compliance.

  • Review the contractual and legal exposure created by platform compliance.

  • Review contracts and agreements for the obligations they create around digital asset platform compliance.

Who Should Attend

  • Investment and portfolio managers exposed to digital asset platform compliance.

  • Relationship and product managers whose targets depend on platform compliance.

  • Anyone whose accountability for digital asset platform compliance exceeds their current formal training in it.

  • Internal auditors reviewing the controls around platform compliance.

  • Planning staff whose forecasts and budgets are affected by digital asset platform compliance.

  • Compliance officers overseeing platform compliance.

Course Modules

Open any module to see its sessions and topics.

01

Digital asset platform compliance: capital, liquidity and balance sheet effect

2 sessions · 8 points

Session 1Keeping digital asset platform compliance alive after the initial push

  • Design the exception process for digital asset platform compliance and require a documented rationale.
  • Assess the capital consumed by platform compliance under current and stressed conditions.
  • Test digital asset platform compliance against a scenario the organisation would rather not model.
  • Test the procedure for platform compliance against a realistic scenario.

Session 2Stress scenarios for platform compliance that are plausible rather than convenient

  • Identify single points of dependency in digital asset platform compliance and reduce them.
  • Record the rationale for each significant choice made about platform compliance.
  • Document the remediation plan for each known weakness in digital asset platform compliance.
  • Confirm client due diligence standards applied to platform compliance are current.
02

Platform compliance: risk appetite, limits and policy

2 sessions · 8 points

Session 1Concentration building quietly inside platform compliance

  • Translate the appetite for digital asset platform compliance into limits someone monitors daily.
  • Confirm that reporting on platform compliance reaches the people who can act.
  • Confirm reporting on digital asset platform compliance reaches the committee that can act on it.
  • Confirm regulatory reporting on platform compliance is complete, timely and reconciled.

Session 2Handling a breach of policy on platform compliance properly

  • Review concentration by counterparty, sector and geography inside digital asset platform compliance.
  • Estimate the resource platform compliance requires to run as designed.
  • Rehearse the briefing on digital asset platform compliance that would follow an incident.
  • Identify the key controls over platform compliance and who tests them.
03

Platform compliance: audit evidence and examiner readiness

2 sessions · 8 points

Session 1Testing platform compliance before relying on it

  • Remove steps in digital asset platform compliance that add effort without adding assurance.
  • State the risk appetite for platform compliance as a number, not an adjective.
  • Anticipate the objections digital asset platform compliance will raise and prepare the answers.
  • Prepare the evidence pack demonstrating platform compliance operated as designed.

Session 2Setting a limit on digital asset platform compliance that will actually be respected

  • Benchmark the organisation's digital asset platform compliance against comparable operations.
  • Set early warning indicators for platform compliance with defined action thresholds.
  • Define the trigger that would require digital asset platform compliance to be redesigned.
  • Verify reconciliation and settlement controls covering platform compliance.
04

Platform compliance: reporting that supports a decision

2 sessions · 8 points

Session 1The decisions in platform compliance that cannot be delegated

  • Write down the assumptions underpinning the approach to digital asset platform compliance.
  • Review the pricing of platform compliance against the risk being assumed.
  • Check that digital asset platform compliance still works when volumes rise unexpectedly.
  • Establish the boundary of platform compliance and record what sits outside it.

Session 2Pricing platform compliance for the risk actually taken

  • Confirm segregation of duties across initiation, approval and settlement of digital asset platform compliance.
  • Record what was learned when platform compliance did not go as planned.
  • Confirm that those complying with digital asset platform compliance understand why it exists.
  • Define acceptance criteria for platform compliance in advance.

Choose the package that suits you

Silver Package

At least 3 people

USD1,250
  • Workshop or Program Participation
  • Airport Transfers
  • Customized Badge
  • Expert Mentorship (Private Sessions)
  • Supervision & Secretarial Services
  • Accredited Certificate of Participation
  • Complete Training Kit
  • Coffee Break
  • Closing Ceremony

Gold Package

At least 3 people

USD1,850
  • 5-night stay in a 5-star hotel
  • Workshop or Program Participation
  • Airport Transfers
  • Customized Badge
  • Expert Mentorship (Private Sessions)
  • Supervision & Secretarial Services
  • Accredited Certificate of Participation
  • Complete Training Kit
  • Coffee Break
  • Closing Ceremony

Complete your registration

We will contact you within one business day to confirm.

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