2b. ALL - Crypto 2.0: Compliance Considerations for Crypto Assets (Intermediate)

Crypto assets are still new and rapidly gaining popularity.  The lack of a clear regulatory framework has made dealing with crypto assets challenging; however, this has not stunted their popularity.  Many financial services firms are now dealing with crypto assets and with their unique characteristics.  Compliance challenges have arisen when subjecting them to existing compliance regimes.  This session will address those challenges and provide information to help firms manage their compliance obligations when dealing with crypto assets.  This session is open to regulators but closed to members of the press.


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2a. ALL – Behavioral Ethics in Finance: Detecting Compliance Risks Before They Escalate (Intermediate)

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2c. IA/PF—Compliance Testing, Surveillance, and the Annual Review (Intermediate)