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WEBINAR: From Fines to Fixes: Compliance Insights from Recent Enforcement Actions

17 January 2025

WEBINAR: From Fines to Fixes: Compliance Insights from Recent Enforcement Actions

This webinar will provide practical insights for Compliance and Senior Management to refine governance, systems, policies, and controls, ensuring their programmes meet regulators' expectations

Enforcement actions by regulators are a gold mine of information for Compliance and Senior Management, as they tend to go into great detail about the expectations of regulators when it comes to the implementation of regulatory requirements and provide concrete examples of what constitutes bad practice.

As regulators’ risk-based approach results in increased attention on sectors like digital assets (evidenced, for example, by several regulatory visits to cryptoassets service providers in France), what lessons can crypto firms learn from recent enforcement action, even if they are in different jurisdictions and sectors?

This webinar will provide practical insights to Compliance and Senior Management staff about adjustments that they can make to their Compliance governance, systems, policies and procedures and controls to ensure that their Compliance programme can live up to regulators’ expectations.

Date:  Wednesday, 12 February 2025

Time: 1200   GMT
Panellists


•    Manuel Fajardo | Director and Head of Digital Assets, Plenitude
•    Azariah Nukajam | Head of Regulation and Compliance, Gemini
•    Tom Armstrong | Head of Compliance Advisory, TRM Labs
•    Su Carpenter | Executive Director, CryptoUK

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Plenitude’s Digital Assets Practice assembles a team that brings a deep knowledge of regulatory expectations, crypto business models and the associated risks, to help crypto firms navigate the regulatory landscape, the road to registration, and build and implement an effective risk management framework.
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