Compliance in Blockchain

Course Outline

Focusing on compliance, this course will provide you with the knowledge and tools needed to develop new and adapt existing policies and processes for the Blockchain industry.

Learn from an expert how to deal with risks and challenges in the context of this innovative technology.

This comprehensive, cutting edge training at an advanced level is aimed for professionals taking up a role in the VFA industry.

Persons wishing to attend this course are required to submit a certificate of attendance of the ILS course Introduction to Blockchain: Legislation in Malta or equivalent such as:
– Introduction to the Virtual Financial Assets Act, Training Provider: IFSP, Malta
– Virtual Financial Assets for VFA Agents Programme, Training Provider: MIM

Lecturer: Ms. Lynn Connolly Bio   

Certification

A Certificate of Attendance will be issued to all participants indicating the attended sessions.

Venue and Dates

Green Lounge C, The Phoenicia Malta, The Mall, Floriana FRN1478

29th May, 30th May, 31st May, 3rd June and 5th June, 2019
The programme will start at 0930 and finish at 1600 (coffee break 1100-1130 | lunch break 1300-1400)

Participation Fee

€ 1,200    |    cheques payable to Institute of Legal Studies Malta

Registration

To apply kindly use our online registration form.

Programme:

Wednesday 29th May, 2019

Day 1: Whitepaper Due Diligence and Red Flags | Compliant Communications and Marketing across all Channels 

Whitepaper Due Diligence: Detailed framework, background checks and assessing validity of information, technology assessment, potential red flags, critical omissions, what constitutes reasonableness, disclosure of risks and mitigation policies, soundness, governance, review and classification of business structure and related products and/or token type, and associated regulatory risks along with policies and procedures.

Communications, Presentations and Marketing: Comprehensive session on understanding and identifying potentially fraudulent communications across all channels including documents, presentations, and social media; how to communicate within compliance and regulatory standards; what can be communicated and when can information be publicly disclosed whether documentation, email or social media; marketing within regulatory guidelines; identifying and assessing potentially fraudulent, misleading and biased statements and postings; public speaking guidelines; representations; citations; review, monitoring and retention of communications; escalation process, monitoring, reporting and disclosures.

Thursday 30th May, 2019     

Day 2: Cybersecurity and Risk Mitigation | GDPR, Data Privacy and Record Retention across all Areas

Whitepaper Due Diligence: Detailed framework, background checks and assessing validity of information, technology assessment, potential red flags, critical omissions, what constitutes reasonableness, disclosure of risks and mitigation policies, soundness, governance, review and classification of business structure and related products and/or token type, and associated regulatory risks along with policies and procedures.

Communications, Presentations and Marketing: Comprehensive session on understanding and identifying potentially fraudulent communications across all channels including documents, presentations, and social media; how to communicate within compliance and regulatory standards; what can be communicated and when can information be publicly disclosed whether documentation, email or social media; marketing within regulatory guidelines; identifying and assessing potentially fraudulent, misleading and biased statements and postings; public speaking guidelines; representations; citations; review, monitoring and retention of communications; escalation process, monitoring, reporting and disclosures.

Friday 31st May, 2019     

Day 3: Internal Governance Framework, Code of Conduct

Internal Governance and Code of Conduct: Internal governance policies and framework; roadmap/milestone assessment; operational risk management; internal controls; financial reports and liquidity provisions; valuation; dispute resolution; organization and reporting structure; code of conduct policies and actions against violations; service provider due diligence; escalation process, monitoring, reporting and disclosures.

Monday 3rd June, 2019     

Day 4: Market Manipulation by Token / Product type and all Firm Types

Potential Market Manipulation and Fraud: Market exchange mechanics; transaction monitoring; trading and other types of bots; widgets; market makers; code of ethics; insider information; conflicts of interest; potentially fraudulent scams and schemes; market and exchange bias and/or preferential treatment; confidentiality and NDAs; market risk management; appearance of facilitating trades and/or acting as broker/dealer without registration; regulatory registration compliance; escalation process, monitoring, reporting and disclosures.

Wednesday 5th June, 2019     

Day 5: Compliance Assessment Framework | RegTech what it does and doesn’t do

Based on topics covered, establishment of Compliance Assessment Framework across all areas for verification and ongoing monitoring; material changes in business, controls, and risks; appropriateness of communications and disclosures; reporting of violations/breaches. Understanding and overview of RegTech and establishment of related compliance process, monitoring and controls including risk mitigation; what can RegTech help mitigate and what it doesn’t do. A recap of topics covered and other topics of interest.

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