The last months have seen significant developments in the regulatory front for crypto-related activities, with the presentation of the proposed regulatory regime in the UK through the HMT consultation, the approval in the EU of the MiCA and TFR regulations, and similar developments in jurisdictions as varied as Hong Kong, Australia, and Dubai to mention just a few.

Likewise, several enforcement actions in the US or France over compliance failures have also called attention to the price of non-compliance, a trend that is likely to continue as crypto remains in the spotlight for regulators, and regulatory requirements are reinforced.

This webinar will look at the challenges and best practices in building a sound compliance framework for crypto activities, including how to integrate available crypto-specific risk mitigation tools. It will also look at how the convergence in regulatory requirements means that crypto firms’ compliance programs will increasingly have to adopt the practices that already exist in traditional finance, while traditional finance firms, given their inevitable exposure to crypto, also need to adopt some of the available solutions to mitigate these risks.

Area of expertise:
Manuel Fajardo

Manuel Fajardo

Senior Executive and Digital Asset Practice Lead, Plenitude Consulting

Manuel has over 17 years of experience in the global asset management industry across Compliance, Internal Control, and Internal Audit, in positions w...

Manuel has over 17 years of experience in the global asset management industry across Compliance, Internal Control, and Internal Audit, in positions with a global remit based in Paris, London and Los Angeles.

Prior to working with Plenitude, Manuel built the global compliance framework for a major investment management group. This involved designing, deploying and constantly refining processes, tools, policies, and procedures. His main areas of focus were Anti-Money Laundering, International Sanctions and Financial Promotions / Distribution, in which he proved adept at balancing local and global considerations and regulatory constraints, the interest of all stakeholders and firms’ risk appetite to build solid frameworks that have proved successful throughout the years.

Manuel has a deep knowledge of the cryptoassets industry, acquired through more than six years of studying, investment and advisory work. In the current phase of his career, he has used this knowledge to train companies in the traditional finance sector about the significance of this nascent industry, its actors and quickly developing regulatory framework, as well as advising crypto firms on their regulatory obligations as they seek registrations, and playing an active role in shaping discussions on regulation through industry associations.

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Sophie Bowler

Sophie Bowler

Chief Compliance Officer, Zodia Custody

Sophie is the Chief Compliance Officer Zodia custody. She is the designated MLRO and DPO and is leading the charge in Zodia’s unwavering commitment to...

Sophie is the Chief Compliance Officer Zodia custody. She is the designated MLRO and DPO and is leading the charge in Zodia’s unwavering commitment to offering compliant and robust custody services to clients, without compromise.

Prior to joining Zodia Sophie led EYs financial crime and consulting practice for the Digital Asset sector where she advised and supported Digital Asset firms on their regulatory and compliance obligations including development of financial crime controls. She also advised and supported a vast range of financial services firms in the development and assessment of their financial crime compliance controls, and support in addressing regulatory intervention.

Prior to consulting she held a Deputy MLRO position and worked in the European Parliament as a political advisor to a Member of the European Parliament (MEP) where she worked on a vast array of anti- organised crime legislation and initiatives, most notably the 4AMLD and Transfer of Funds Regulation.

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Daniel Coheur

Daniel Coheur

Co-Founder and Chief Commercial Officer, Tokeny

Daniel Coheur is the co-founder and Chief Commercial Officer (CCO) of Tokeny. In this role he can lever the experience of his corporate background, wh...

Daniel Coheur is the co-founder and Chief Commercial Officer (CCO) of Tokeny. In this role he can lever the experience of his corporate background, which centered around the global growth of transactional based enterprises. In capital markets (Clearstream Banking owned by Deutsche Boerse), and telecommunication (Syniverse owned by The Carlyle Group). He is a genuine entrepreneur who mentored and funded several start-ups before creating his own investment boutique. Today, Daniel is working with investment banks, funds, assets managers and distributors to educate these actors on the digital era of finance and accelerate their adoption of distributed ledger technology.

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Duncan McEwen

Duncan McEwen

Acting Principle, Payments and innovation, UK Finance

Lana Schwartzman

Lana Schwartzman

Head of Regulatory and Compliance, Notabene

The current Head of Regulatory Compliance at Notabene, Lana Schwartzman has more than 18 years of compliance and regulatory experience in Web3, digita...

The current Head of Regulatory Compliance at Notabene, Lana Schwartzman has more than 18 years of compliance and regulatory experience in Web3, digital assets, fintech, and TradFi, with a proven track record of successfully designing and implementing BSA/AML/Sanctions Compliance programs, leading MSB/MTL licensure strategy and process, internal audits, independent compliance program reviews, and consent order validation for NFT and cryptocurrency companies, financial institutions, and foreign banking organizations.

Schwartzman previously served as Chief Compliance Officer for two crypto companies, the latest being Dapper Labs. Prior to that, she worked in Grant Thornton’s Regulatory and Compliance Risk Advisory Services practice for seven years, advising early crypto adopters on setting up and implementing compliance programs. She began her role in compliance with Morgan Stanley and then worked at Deutsche Bank.

She is known to be a Subject Matter Expert in Regulations and Compliance related to cryptocurrency and Lana stays current on all AML regulations. Lana is a Certified Anti-Money Laundering Specialist (CAMS) and obtained the ACAMS Virtual Currency Certification and various Chainalysis certifications. She achieved the recognition of "AML Professional of the Month" in 2019 and she has been a frequent panelist at various ACAMS, ACFCS, and crypto/web3/NFT conferences

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Plenitude

Plenitude

Plenitude is a niche consultancy, specialising in Financial Crime Risk and Compliance and are appointed to the Financial Conduct Authority’s Skilled P...

Plenitude is a niche consultancy, specialising in Financial Crime Risk and Compliance and are appointed to the Financial Conduct Authority’s Skilled Persons panel for Financial Crime. Our focus is firmly on addressing the legal, regulatory, reputational and social imperative for financial institutions to take diligent and rigorous steps to mitigate financial crime risks.

We help our clients meet their regulatory obligations and reduce their financial crime risk exposure by providing deep subject matter expertise, advisory and transformation services. Our services are augmented with subscription products that gives our clients enhanced insight into the vast array of Financial Crime Compliance (FCC)  laws, regulations, guidance and risk indicators, to more effectively manage financial crime risk while reducing overall costs.

Our Digital Assets Practice leverages our deep FCC advisory and transformation capabilities to support traditional financial institutions and crypto firms, design and implement effective control frameworks to mitigate the key risks and comply with regulatory obligations.

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Heads of;

  • FCC
  • MLRO’s
  • Compliance Officers
  • Innovation/Transformation Departments
  • C-Level Executive Management

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