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Ledgerworks Institute

Track 04 · Advanced

Regulation & Compliance

How digital assets are treated by the people who write and enforce the rules, jurisdiction by jurisdiction.

  • 16 hours
  • 5 modules
  • 15 units
  • $290 or included in full access
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About this course

The course teaches how classification arguments are constructed, how AML and KYC obligations are implemented in practice, and how a supervisory examination is actually run. It is written to outlast any particular rulebook, because rulebooks change and the reasoning does not.

This is not legal advice and does not substitute for counsel in your jurisdiction. It is a course about how the regime works, taught by someone who has been on both sides of an examination.

What you will be able to do

  • Follow a classification argument and identify what it turns on
  • Map AML and KYC obligations onto an operating business
  • Explain Travel Rule mechanics end to end
  • Prepare the evidence an examiner will ask for

Syllabus

16 hours of contact material

01Classification3 units · 3 hr 20 min
  • How the same token is treated differently across jurisdictions
  • The tests regulators apply and what facts drive them
  • Reading a determination on its own terms
02AML and KYC in practice3 units · 3 hr 40 min
  • Customer due diligence, enhanced due diligence and risk rating
  • Transaction monitoring: rules, thresholds and false positives
  • Suspicious-activity reporting and the escalation path
03The Travel Rule3 units · 3 hr 10 min
  • Originator and beneficiary information requirements
  • Messaging protocols and interoperability in practice
  • Unhosted-wallet transfers and the open questions
04Building a programme3 units · 3 hr
  • Governance, ownership and the three lines of defence
  • Policies, procedures and the gap between them
  • Vendor selection and outsourced obligations
05Surviving an examination3 units · 2 hr 50 min
  • What an examiner asks for, in the order they ask for it
  • Evidence, sampling and remediation plans
  • Tabletop exercise: a thematic review lands with two weeks’ notice

Who it is for

  • Compliance, legal and risk staff new to digital assets
  • Operators building a programme before authorisation
  • Policy and supervision staff who want the operator’s view

Prerequisites

Blockchain Fundamentals, or professional experience in financial-services compliance.

What is included

  • Video and written notes for every unit
  • Policy and procedure templates
  • Examination preparation checklist
  • Certificate of completion

Assessment

Five exercise sets and a written assessment in which you prepare an examination response pack. Marked pass or resit.

Educational disclaimer

Ledgerworks Institute provides educational content and learning tools only. Nothing on this platform constitutes financial advice, an investment recommendation, or a guarantee of any outcome. Cryptocurrency and digital-asset markets carry substantial risk, including the total loss of capital. Conduct your own research and consult a qualified, licensed professional before making any financial decision.

Read the full disclaimer