Compliance Decision Worksheet

Document your regulatory analysis for each scenario
Instructions:
  • Complete one worksheet page for each of the 5 required scenarios
  • Check all applicable regulatory citations that support your decision
  • Provide detailed reasoning - this is where you demonstrate your understanding
  • Be specific about what additional information you would request
  • Assess the overall risk level to your exchange
Scenario 1: Large Cash Deposit with KYC Resistance
1. Your Compliance Decision
Select ONE decision:
2. Regulatory Basis for Decision
Check ALL applicable regulations that support your decision:
3. Additional Information Required
What additional documentation or information would you request before making a final decision?
4. Risk Assessment
What is the overall risk level of this scenario to your exchange?
Scenario 2: Withdrawal to Sanctioned Jurisdiction
1. Your Compliance Decision
Select ONE decision:
2. Regulatory Basis for Decision
Check ALL applicable regulations that support your decision:
3. Additional Information Required
What additional documentation or information would you request before making a final decision?
4. Risk Assessment
What is the overall risk level of this scenario to your exchange?
Scenario 3: Suspicious Transaction Pattern - Volume Spike
1. Your Compliance Decision
Select ONE decision:
2. Regulatory Basis for Decision
Check ALL applicable regulations that support your decision:
3. Additional Information Required
What additional documentation or information would you request before making a final decision?
4. Risk Assessment
What is the overall risk level of this scenario to your exchange?
Scenario 4: High-Value NFT Sale with Unknown Buyer
1. Your Compliance Decision
Select ONE decision:
2. Regulatory Basis for Decision
Check ALL applicable regulations that support your decision:
3. Additional Information Required
What additional documentation or information would you request before making a final decision?
4. Risk Assessment
What is the overall risk level of this scenario to your exchange?
Scenario 5: DAO Treasury Management
1. Your Compliance Decision
Select ONE decision:
2. Regulatory Basis for Decision
Check ALL applicable regulations that support your decision:
3. Additional Information Required
What additional documentation or information would you request before making a final decision?
4. Risk Assessment
What is the overall risk level of this scenario to your exchange?

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