Our Playbooks

Follow our playbooks to get things right at the start, minimising your compliance risk and maximising the value-added opportunity of cryptoassets.

All of our playbooks have been certified in the Bitcoin Blockchain.

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Crypto Investment Fund

Investing

Playbook for cryptoasset ecosystem actors operating in the Investing industry segment looking to establish a crypto fund. It sets out the key elements of a compliance program.

Transaction ID (TxID): c1518815d6511cbc9107dadb0ba788790eb925e1fe453b6569002b8b6390ce38

Black and White Star in Circle

Non-Deliverable Forwards (NDFs)

Token Creation/Distribution, Exchange and Investing

Playbook for cryptoasset ecosystem actors operating in the Token Creation/Distribution, Exchange and Investing industry segments when interacting with NDF contracts (e.g. setting up a trading desk).

Transaction ID (TxID): 178cc1eee64ca029c312cd035b1761aaef5e928331f689bb0bda97212a62df12

Available upon request. Please contact us for further information.

Derivatives Trading Desk (Voice Brokerage)

Exchange

Playbook for cryptoasset ecosystem actors operating in Exchange industry segment when setting up a derivatives trading desk with respect to voice-brokered over-the-counter (OTC) contracts.

Transaction ID (TxID): 7ad38d4cdce21229fb2ea03ab21f6889ac837646713b1c8b378304b259b08778

Available upon request. Please contact us for further information.

Black and White Star in Circle

Regulatory Sandbox Application

All

Playbook for cryptoasset ecosystem actors operating across all of the Investing industry segment looking to make an application to the FCA's Regulatory Sandbox. It sets out the key steps and information requirements.

Transaction ID (TxID): 039eef705ee632a5ccd1a7a999b326b45710424a240a7093181b1a566906f265

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Financial Promotions

Token Creation/Distribution

Playbook for cryptoasset ecosystem actors operating in the Token Creation/Distribution segment looking to approve or approve financial promotions, including those involving cryptoassets. It sets out the key elements of the financial promotions regime.

Transaction ID (TxID): dc9d2814d61e61e0df0840bfa38f96c150473f6ea642ca0006156944bc5b5644

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Over-the-Counter (OTC) Block Trades

Trading and Investing

Playbook for cryptoasset ecosystem actors operating in the Trading and Investing segments looking to execute OTC block trades involving cryptoassets. It sets out the key elements that should be taken into consideration.

Transaction ID (TxID): c91605ef3fbb65515727c6257d43f03b3d68b31928198f552f0aa26a5cee4ac2

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Crypto Investment Fund Due-Diligence

Investing

Playbook for cryptoasset ecosystem actors looking to conduct due0diligence on entities operating in the Investing industry segment. It sets out the key elements of a recommended due-diligence process.

Transaction ID (TxID): 992cd471ef6120872869499f922076cbe86243a68f14bc8445e44b288fdf5fab

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Cryptoasset Exchange Provider (CEP)

Exchange

Playbook for cryptoasset ecosystem actors operating in Exchange industry segment when setting up a cryptoasset exchange (including the operation of a cryptoasset trading platform).

Transaction ID (TxID): 83ee2a4d7d0c7cce570264cda9b8e1e4a207b76ac9aadc9864862c5bec38e7a7

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Exchange-Traded Products (ETPs)

Investing

Playbook for cryptoasset ecosystem actors operating in the Investing industry segment looking to trade cryptoasset exchange-traded funds. It sets out the key regulatory considerations and touchpoints.

Transaction ID (TxID): db44d59f6ee8f3d222e5f5d36b8da6b3d350b477fb6086a9a4d1f9711dc449ac

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Anti-Bribery Management System (ABMS)

Storage, Exchange, Payment and Investing

Playbook for cryptoasset ecosystem actors operating in the Storage, Exchange, Payments and Investing industry segments looking to implement and maintain a pro-active anti-bribery management system. It sets out the key elements and required actions.

Transaction ID (TxID): 22854382e5d893e697eeefd1e665bf4c193604cda2f3a9da2bdb67e5c911e11d

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Compliance Management System (CMS)

All

Playbook for cryptoasset ecosystem actors operating across all industry segments looking to implement and maintain a pro active compliance management system. It sets out the key elements and required actions.

Transaction ID (TxID): 2f51cb4e77f35f6b3dc8f7b419b0f1571ba5181843d7de2783ebf5162207b302

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Algorithmic Trading

Exchange and Investing

Playbook for cryptoasset ecosystem actors operating in the Exchange and Investing industry segments using algorithms for a number of purposes across their trading activity. It sets out a recommended standard to follow in making execution and investment decisions.

Transaction ID (TxID): bf6dd2b62e929a87523ad7e3ea715bd07c6adbf58bcd02da380f414fb966e789

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Blockchain Governance

All

Playbook for cryptoasset ecosystem actors operating across all of the industry segments using distributed ledger technology in the financial sector. It includes a set of recommended guidance measures.

Transaction ID (TxID): 87a9f0c2f17ebf4a8ffaf00edae1f202ab9897ffae13b424be06d825490b1c62

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Decentralised Finance (DeFi): Decentralised Exchange Service

Playbook for cryptoasset ecosystem actors operating in the Exchange industry segment looking to operating decentralised exchange services. It sets out the key guidance measures.

Transaction ID (TxID): 36bdb49ce5a3c4daf7fce21367582fa414edfb2e98abc1c4bc537b3ea13b5429

Exchange

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Decentralised Finance (DeFi): Credit and Lending

Exchange

Playbook for cryptoasset ecosystem actors operating in the Exchange industry segment looking to engage in lending services. It sets out the key guidance measures.

Transaction ID (TxID): eb2f88e1261c20e55fd423ecbd69e332fe8ac6555a02c05a8d15fdec5df13aff

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Regulatory Technology (RegTech)

All

Playbook for cryptoasset ecosystem actors operating across all of the industry segments looking to use technology to comply with their regulatory requirements. It sets out how MCB's RegTech solution can be used to achieve this objective.

Transaction ID (TxID): f2b05531b184fa1689294ad927d5e02cd044db7fb3a60041211eecd676d32b87

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Compliance Risk Management (CRM)

All

Playbook for cryptoasset ecosystem actors operating across all industry segments looking to identify, manage and mitigate the compliance risks and compliance-related risks that present a threat to a firm meeting its objectives. It sets out the key elements and required actions.

Transaction ID (TxID): b3a7d2f9444042ea639e5e6429070b8213f2292eabdef24413fd290b2e38c920

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Decentralised Finance (DeFi): Investing

Investing

Playbook for cryptoasset ecosystem actors operating in the Investing industry segment looking to use asset management protocols that combine underlying investments (e.g. tokens) through smart contracts. It sets out the key guidance measures.

Transaction ID (TxID): e5f7b532f8e8b8f59eb83b29580a2e513eb1f274e9e1c1a33cd25ac9d09629e9

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Non-Fungible Tokens (NFTs)

Token Creation/Distribution, Exchange and Investing

Playbook for cryptoasset ecosystem actors operating in the Token Creation/Distribution, Exchange and Investing industry segments looking to interact with NFTs. It sets out the key considerations from a compliance/regulatory standpoint.

Transaction ID (TxID): 75521203e55fde8375a2ce8d5b0de0ff7974a451f09dbf03b7703d967577b8d0

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Environmental, Social and Governance (ESG)

Investing

Playbook for cryptoasset ecosystem actors operating in the Investing industry segment looking to invest in cryptoassets. It sets out the relevant ESG-related considerations.

Transaction ID (TxID): 7ac16e1aba40f8df07b9f70aa28dcc7bb845fe67dd5e7969a39dca05075cec7a

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Decentralised Finance (DeFi): Derivatives

Token Creation/Distribution and Investing

Playbook for cryptoasset ecosystem actors operating in the Token Creation/Distribution and Investing industry segments looking to issue or trade synthetic financial instruments . It sets out the relevant compliance and regulatory considerations.

Transaction ID (TxID): eba66da7e1908bf820580bc4f58bccb9e68e9f58d3070a7adf95a77783f75882

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Web 3.0

Business Model

Playbook for cryptoasset ecosystem actors operating across all industry segments looking to operate in the token economy. It sets out the key features of Web 3.0 and potential compliance touchpoints.

Transaction ID (TxID): 13a3821e8fbce46d3edb410002d1dc3774c4f9600a953817e91dddf9de40abff

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Financial Technology (FinTech) Regulation

All

Playbook for cryptoasset ecosystem actors operating across all of the industry segments that use or provide technology to deliver financial services and products to consumers. It sets out the key regulatory requirements (including specific examples).

Transaction ID (TxID): 211efe924480d63a799bdf90988d9c7684104439c7c313418af98c7b10bd1a31

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Over-the-Counter (OTC) Options Trades

Trading and Investing

Playbook for cryptoasset ecosystem actors operating in the Trading and Investing segments looking to execute OTC options trades involving cryptoassets. It sets out the key elements that should be taken into consideration.

Transaction ID (TxID): badfad63099ff0a9d7225a6e7167406545e7188510d644762a106dd8ad2f8a3a

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Decentralised Autonomous Organisations (DAOs)

All

Playbook for cryptoasset ecosystem actors operating across all of the industry segments looking to run a decentralised organisation. It sets out certain regulatory considerations to take into account when establishing a DAO.

Transaction ID (TxID): bd35bea92951cf7ab722c0faf081a7b3bc608766226027453a2292c18fad2a5e

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Prime Brokerage

Investing

Playbook for cryptoasset ecosystem actors operating in the Investing industry segments when offering prime brokerage services (e.g. custody). 

Transaction ID (TxID): 31d0b4e709977767cc7e6fd9cd9ea548354c36db3c31bc726fda879e6434c302

Available upon request. Please contact us for further information.

 

Our Brochures

View our brochures to learn how we add value to your organisation. 

All of our brochures have been certified in the Bitcoin Blockchain.

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Compliance Manual (CM): Investment Advice

Compliance Management System

Brochure ​providing details on a suggested Compliance Manual for firms providing investment advice, including key considerations that should be taken into account.

Transaction ID (TxID): ee9a44a2f699f6adf6b1bc4dcc03f05f4a0f16b681417e76b28d7f80088210be

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Crypto-Compliance-as-a-Service (CCaaS)

Business model

Brochure ​providing details on how our innovative CCaaS business model can meet your needs (current and anticipated). 

Transaction ID (TxID): 03ac8096579dc06f51fdcd8a535253baaac37c88975b06d9096b86ff108f7ef9

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Compliance Policy (CP)

Compliance Management System

Brochure ​providing details on the core and additional requirements of a CP, as well as an application of how our innovative CCaaS business model can meet your needs (current and anticipated). 

Transaction ID (TxID): ce162ccda84ebb05d8bb06b517c3b9eda07d00554a7d984a29f23b75b334bc17

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Regulatory Compliance Matrix (RCM)

Compliance Management System

Brochure ​providing details on our RCM, elements of a robust compliance programme and our value proposition on how our innovative CCaaS business model can meet your needs (current and anticipated). 

Transaction ID (TxID): 709d98212b6df0a39e67daf7913b85a18e8aace0aecf0ffad618fb5ec3815cb0

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Compliance Risk Assessment (CRA)

Compliance Management System

Brochure ​providing details on a suggested metrics for assessing your compliance risk across an array of areas.

Transaction ID (TxID): 26663e74e07f1c25deded95ee33584f7243eca3b708be06b8898a3d9e09ce306

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Compliance Function Maturity Model (CFMM)

Compliance Management System

Brochure ​providing details on a suggested maturity model for the Compliance Function, including key metrics for evaluation. We help our clients achieve the highest maturity stage for regulatory compliance. 

Transaction ID (TxID): e63567b5472584899e5eef1cbc22fb8c112d73ad574573a636f62e70a7e8a893

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Regulatory Technology (RegTech)

Compliance Management System

Brochure ​providing details on our RegTech solution as part of our CCaaS business model.

Transaction ID (TxID): fd58dd0fa5fc9ca0522e7a3a0cca6d2e2d7bad733edbc8a74cd432c62b5a6c56

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Algorithm Audit (AA)

Compliance Management System

Brochure ​providing details on how we provide formal assurance that algorithms are legal, ethical and safe by undertaking auditing and assurance of algorithms.

Transaction ID (TxID): 3042daf5c0995fab088aa947bc6c97d7c4766b3758fd4b084d22255eda7078c9

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Conflicts of Interest (CoI)

Compliance Management System

Brochure ​providing details on potential conflicts of interest between firms and participants of a blockchain network. 

Transaction ID (TxID): 4bbd21c0edc3a233e9042badbf3a4ae3472c0468b45936e1e68aa003e5ad4f67

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Decentralised Finance (DeFi)

Business Model

Brochure ​providing details on how we help clients consider the risk of technological, asset-specific and regulatory hazards when investing in a project or using decentralized finance (DeFi) networks for their use cases.​

Transaction ID (TxID): 6890a5c2d959899ac00817a50e989709b3fb47235d08e3bf8f75621ab27d44d1

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Trading Platform (TP)

Business model

Brochure ​providing details on the applicable compliance and regulatory obligations for firms operating trading platforms.

Transaction ID (TxID): 881fa4e0d2fee566d523187ff8028a039b9971a736cf5e2ad9b52d6e4a851a9c

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Cryptoassets (C)

Business model

Brochure ​providing details on key points relating to cryptoassets.

Transaction ID (TxID): c8f2f98f443dc91534c420c6d80be837eb25ff7fa2fe4725da59d79af60180bb

 

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