Regulatory Compliance for Blockchain

Programme outline

Learning objectives
Day 1: Introduction to Blockchain and the Global Regulatory Environment
  • Welcome, Course Introduction and Admin
    • Overview of course objectives, structure, and learning outcomes
  • Introduction to Blockchain Technology and Distributed Ledge Technology
    • Identify key milestones in blockchain development, from its inception to modern innovations like DeFi and NFTs.
    • Summarise the evolution of blockchain technology and its significant contributions to decentralised systems.
    • Identify key milestones in blockchain development, from its inception to modern innovations like DeFi and NFTs.
    • Summarise the evolution of blockchain technology and its significant contributions to decentralised systems.
    • Explain the components of blockchain and Distributed Ledger Technology (DLT), including blocks, chains, nodes, and consensus mechanisms.
    • Demonstrate how blockchain works through examples of data verification, block addition, and ledger distribution.
    • Classify the popular uses of blockchain across industries such as finance, supply chain, and healthcare.
      • Activity 1 – Blockchain and DLT: Fundamental Concepts
      • Activity 2 – Experience in Using Blockchain and DLT
  • Understanding Risks in the Blockchain & Crypto Ecosystem
    • Analyse the key drivers of blockchain asset pricing, such as market sentiment and adoption.
    • Understand what crypto winters are and their impact.
      • Activity 3 – Experience in Investing in Blockchain Related Assets
      • Activity 4 – Pricing of Blockchain & Crypto Related Assets – Key Drivers
      • Activity 5 – Crypto Winters
    • Compare the functionalities of major blockchain exchanges, platforms and cross-chain bridges and stablecoins, like Bitcoin, Ethereum, Binance Bridge and Terra, etc.
    • Differentiate between blockchain asset types, including cryptocurrencies, stablecoins, non-fungible tokens (NFTs), tokenised asset, crypto wallets, stablecoins and central bank digital currencies (CBDCs), etc.
      • Activity 6 – Regulatory Lessons Learnt – 3AC Collapse
      • Activity 7 – Regulatory Lessons Learnt – Multichain’s ‘Mysterious Withdrawals’
    • Differentiate between blockchain asset types, including cryptocurrencies, stablecoins, non-fungible tokens (NFTs), tokenised asset, crypto wallets, stablecoins and central bank digital currencies (CBDCs), etc (Cont’d).
      • Activity 8 – Non-Fungible Tokens – A Fad, Hype or….?
      • Activity 9 – Regulatory Lessons Learnt – Terra (LUNA) Collapse
  • The Global Regulatory Landscape
    • Identify and describe the key international regulatory frameworks and standards bodies (e.g., FATF, EU MiCA, ISO, IEEE), and how these bodies govern blockchain and DLT developments, focusing on AML/CFT compliance, security, consumer protection and interoperability.
    • Examine blockchain laws in major jurisdictions (US, EU, China/Hong Kong) and their impact on innovation and compliance.
    • Evaluate the differences in regulatory approaches, such as the US SEC’s securities rules and EU’s MiCA framework.
      • Activity 10 – US SEC’s securities rules vs. EU’s MiCA framework.
Day 2: Compliance Risk Management
  • Welcome Back, Course Introduction and Admin
    • Overview of course objectives, structure, and learning outcomes.
  • Singapore & MAS Laws and Regulations
    • Identify key milestones in blockchain development, from its inception to modern innovations like DeFi and NFTs.
    • Differentiate between digital payment tokens, e-money, and stablecoins under regulatory guidelines.
    • Examine the legal status of crypto-assets and crypto-mining in Singapore’s context.
    • Understand Singapore’s legal and regulatory framework – the specific laws and regulations such as the Payment Services Act (PSA) and FATF recommendations, etc.
      • Activity 1 – Fiat Currencies, E-Money & Cryptocurrencies
      • Activity 2 – Legal Status of Crypto-Mining
    • Understand Singapore’s legal and regulatory framework – the specific laws and regulations such as the Payment Services Act (PSA), FATF recommendations, and MAS Notices, etc.
  • Regulatory Compliance Risk Management
    • Learn and apply compliance risk management concepts.
    • Conduct risk-based assessments, including inherent and residual risks.
    • Develop and implement controls (e.g., preventive, detective) to manage compliance risks, and best practices.
      • Activity 3 – Regulatory Scoping
      • Activity 4 – Case Study – FTX Collapse, Nov 2022 (Risk identification and assessment)
      • Activity 5 – Case Study – FTX Collapse, Nov 2022 (Risk mitigation)
  • AML/CFT and Financial Crime Compliance
    • Identify ML/TF risks associated with blockchain and cryptocurrency transactions risks.
    • Learn customer due diligence (CDD), enhanced due diligence (EDD), and transaction monitoring techniques for crypto-related businesses.
    • Understand FATF’s Travel Rule and its application to virtual assets.
    • Use blockchain analytics tools for transaction tracking, wallet profiling, and monitoring high-risk activities.
    • Analyse case studies (e.g., FTX collapse) to understand regulatory gaps and best practices.
      • Activity 6 – Customer Risk (Individuals)
      • Activity 7 – Legal Persons & Complex Structures – Identifying the Ultimate Beneficial Owner (UBO)
      • Activity 8 – Transaction Risk – Transaction Monitoring & Blockchain Investigation Tools
      • Activity 9 – Channel Risk – Non Face To Face (Blockchain) Onboarding
      • Activity 10 – KYC/CDD – Customer Risk Assessment
Day 3: Practical Applications of Blockchain and Distributed Ledger Technology
  • Welcome, Course Introduction and Admin
    • Overview of course objectives, structure, and learning outcomes.
  • Uses of Blockchain & DLT, & Emerging New Technology Developments
    • Explore real-world applications across various industries, including finance, supply chain, and healthcare.
    • Assess the transformative potential of blockchain in creating decentralised and efficient systems.
    • Examine Decentralized Autonomous Organizations (DAOs) as a governance model for blockchain ecosystems.
      • Activity 1 – Wider Uses & Adoption of Blockchain & DLT
  • Summative Immersive Scenarios: Practical Application
    • Analyse and discuss case studies to apply theoretical knowledge in solving real-world challenges.
    • Identify blockchain-based solutions to address specific problems in business or technology domains.
    • Practical Application – Case Study 1
    • Practical Application – Case Study 2
  • Summary and Q&A
  • Assessment
Mode of assessment
  • Online Quiz – Multiple-Choice Questions (Including scenario-based questions)
What’s next

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