this course delivers a complete, practical guide to the global regulation of decentralized finance, covering how SEC, MiCA, and FATF frameworks shape token classification, compliance obligations, and protocol governance. Participants learn how regulatory mandates apply to DEXs, lending platforms, stablecoins, and tokenized assets, with emphasis on AML/CFT, Travel Rule implementation, and risk-based oversight. The course blends legal analysis with real case studies, enforcement actions, and RegTech integration to help learners design compliant DeFi architectures. Graduates gain the expertise to evaluate regulatory exposure, implement compliance strategies, and navigate DeFi’s evolving global policy landscape.
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Skills & learning objectives
There are 11 modules in this class
- Overview of Decentralized Finance (DeFi): Evolution and Core PrinciplesUnlock this class to watch3m 11s
- Regulatory Rationale: Systemic Risks, Investor Protection, and Market IntegrityUnlock this class to watch2m 45s
- Roles and Mandates of SEC, MiCA, and FATF in the DeFi EcosystemUnlock this class to watch3m 44s
- Institutional and Retail Implications of DeFi RegulationUnlock this class to watch3m 18s
- Core DeFi Protocols: DEXs, Lending Platforms, and StablecoinsUnlock this class to watch4m 2s
- Smart Contracts and Blockchain Infrastructure for Compliance MonitoringUnlock this class to watch4m 8s
- Tokenomics and Governance Models in Decentralized SystemsUnlock this class to watch4m 15s
- Integration with Traditional Finance and Real-World Assets (RWAs)Unlock this class to watch3m 46s
- Common DeFi Risks: Smart Contract Vulnerabilities, Rug Pulls, and ExploitsUnlock this class to watch3m 36s
- The SEC’s Approach: Securities Law, the Howey Test, and Token ClassificationUnlock this class to watch4m 37s
- Enforcement Actions and Precedents Against DeFi ProtocolsUnlock this class to watch3m 43s
- Registration and Disclosure Requirements for DeFi EntitiesUnlock this class to watch4m 34s
- Investor Protection and Compliance Obligations under the 1940 ActUnlock this class to watch2m 53s
- Emerging U.S. Policy Directions: Safe Harbor and Digital Commodity ProposalsUnlock this class to watch3m 6s
- Overview of MiCA Regulation and Its Scope in the EUUnlock this class to watch2m 20s
- Licensing and Supervision of Crypto-Asset Service Providers (CASPs)Unlock this class to watch2m 46s
- Stablecoins, Asset-Referenced Tokens, and E-Money Tokens under MiCAUnlock this class to watch3m 27s
- Market Integrity, Transparency, and Consumer Protection MeasuresUnlock this class to watch2m 29s
- Cross-Border Implementation Challenges and the Role of ESMA and EBAUnlock this class to watch2m 50s
- FATF Mandate in Regulating Virtual Assets and Service ProvidersUnlock this class to watch3m 1s
- The Travel Rule and Its Application to DeFi ProtocolsUnlock this class to watch2m 39s
- Risk-Based Approach and FATF Recommendations for Decentralized SystemsUnlock this class to watch2m 4s
- Privacy Coins, Anonymity Challenges, and Risk-Mitigation MeasuresUnlock this class to watch1m 38s
- Coordination with IMF, G20, and National Regulators for DeFi OversightUnlock this class to watch1m 36s
- KYC/AML Implementation in Decentralized EnvironmentsUnlock this class to watch2m 7s
- Governance Frameworks and Self-Regulatory Mechanisms for DeFiUnlock this class to watch1m 53s
- Regulatory Sandboxes, Innovation Hubs, and Pilot ProgramsUnlock this class to watch2m 32s
- Compliance Monitoring through RegTech and AI-Powered ToolsUnlock this class to watch2m 8s
- Audit Trails, Smart Contract Verification, and Reporting SystemsUnlock this class to watch1m 57s
- Identifying and Quantifying Regulatory Risks in DeFi OperationsUnlock this class to watch2m 3s
- Enforcement Mechanisms: Penalties, Cease-and-Desist Orders, and SettlementsUnlock this class to watch2m 17s
- Cybersecurity and Data Protection within Regulatory FrameworksUnlock this class to watch2m 4s
- Ethical AI and Responsible Governance in DeFi PlatformsUnlock this class to watch1m 48s
- Measuring Risk-Adjusted Performance under Regulatory Constraints (Sharpe, Alpha, Beta)Unlock this class to watch1m 49s
- Comparative Analysis: SEC vs. MiCA vs. FATF Regulatory PhilosophiesUnlock this class to watch2m 43s
- Jurisdictional Perspectives: Asia-Pacific, UK, and Offshore HubsUnlock this class to watch3m 13s
- Global Standardization Efforts: IOSCO, BIS, and OECD RolesUnlock this class to watch3m 40s
- Cross-Border DeFi Regulation and International Arbitration ChallengesUnlock this class to watch3m 15s
- SEC Cases: Uniswap, Coinbase, and Enforcement InsightsUnlock this class to watch3m 9s
- MiCA Implementation: European DeFi Ecosystem ReadinessUnlock this class to watch2m 56s
- FATF-Driven Compliance: Binance, Privacy Coins, and Global VASPsUnlock this class to watch4m 36s
- lessons from DeFi Crises: Terra-Luna, FTX, Celsius — Regulatory TakeawaysUnlock this class to watch3m 59s
- Capstone Project: Designing a Compliant and Scalable DeFi ProtocolUnlock this class to watch3m 26s
- RegTech, AI, and ESG Integration in Next-Generation DeFi GovernanceUnlock this class to watch4m
- The Future of Global DeFi Regulation: Tokenization, CBDCs, and Institutional AdoptionUnlock this class to watch5m 13s
- ClosingUnlock this class to watch1m 29s
This class is part of the following certifications
Certified Portfolio & Fund Manager (CPFM)
63 ClassesUnlimited interactive exercises
Unlock Certificate
Certificate in AI-Powered Financial Analysis (CAFA)
56 ClassesUnlimited interactive exercises
Unlock Certificate
ClassFAQs
The course aims to provide a professional comparative understanding of global regulatory frameworks governing decentralized finance, including SEC securities rules, MiCA compliance requirements, and FATF AML/CFT standards.
The course is designed for financial professionals, compliance officers, policymakers, developers, and DeFi practitioners seeking to interpret DeFi regulations and integrate them into decentralized systems.
The course covers the Howey Test, securities registration, CASP licensing, stablecoin rules, Travel Rule obligations, VASP supervision, AML controls, and cross-border regulatory coordination.
The course examines systemic, operational, and smart-contract risks, governance vulnerabilities, exploits, lending and DEX risks, and regulatory expectations for disclosure, auditing, and investor protection.
Learners will develop the ability to design compliance-ready DeFi protocols, implement KYC/KYT systems, apply audit frameworks, analyze enforcement cases, and create governance models that align with regulatory requirements.
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