The Ever-Complex World of ICOs Regulations: How to Maximize Opportunities and Mitigate Risks
Early this year, the U.S. Securities and Exchange Commission (SEC) has published its new regulatory guidance for initial coin offerings (ICOs). Primarily focusing on tokens, the guidance clarifies how and when ICOs may be classified as securities. Although the guideline offers some clarity for issuers, it fails to address a number of questions, such as the issue of broker-dealers’ custody.
The Financial Action Task Force (FATF), an intergovernmental organization that develops policies related to anti-money laundering and combating the financing of terrorism (AML/CFT), also issued new crypto standards this year. The guidance, if implemented by member states including the U.S., would mandate companies dealing with tokens to follow the current Know Your Customer (KYC) and AML/CFT protocols.
As attempts to formalize the crypto industry continue, efforts to regulate ICOs will also emerge.
In this LIVE Webcast, a seasoned panel of thought leaders and professionals brought together by The Knowledge Group will present an in-depth analysis of the recent regulatory developments relating to ICOs. Speakers will also provide the best practices and strategies to maximize business opportunities bought by ICOs while mitigating exposure to potential non-compliance risks.
Key topics include:
- ICOs: Regulatory Updates
- Common Legal Risks and Issues
- Practical Strategies to Maximize Opportunities
- Best Compliance Practices
- What Lies Ahead
Initial Coin Offerings: Regulation in 2019
- Rapid Converging Developments
- Professional Responsibility Considerations
- Blockchain Structured Note Issuance
- What is a Token?
- Why Engage in an ICO?
- The DAO Report
- SEC Guidance
- Enforcement and Litigation
- Key Questions for Sponsors
- Key Questions for Investors
- Understanding the Key Questions
- SEC-FINRA Statements on Broker-Dealers
- Other Regulatory Guidance
Who Should Attend:
- Digital Finance Lawyers
- In-house Counsel from Cryptocurrency Companies
- Securities Lawyers
- Digital Finance Professionals
- Financial Crime Attorneys & Consultants
- Finance Risk and Compliance Executives
Ridge is a partner in Withers' corporate team.
He is actively engaged in the full range of corporate and business legal and transactional matters, including mergers and acquisitions, regulatory and compliance, corporate governance, capital markets (IPOs and other registered offerings, SPACs, Rule 144A/Regulation S offerings, asset securitizations and credit facilities), private equity and venture capital, equity and executive compensation, internal investigations, and corporate control litigation, among other areas. As a trusted advisor for small to medium-sized domestic and international public and private companies across a whole range of legal issues and business needs, he regularly represents clients on both highly complex, sensitive and confidential matters as well as routine day-to-day needs.
Ridge’s clients span industries ranging from telecommunications, technology, chemicals and manufacturing to financial services and retail.
Ridge is a partner in Withers' corporate team. He is actively engaged in the full range of corporate and business …
Dale Werts is engaged in technology, general business law, and business transactions. His experience includes e-commerce, data, blockchain, cryptocurrency, artificial intelligence, internet of things, machine learning, software licensing, vendor/affiliate arrangements, payment processing/banking arrangements, corporate governance, intellectual property protection, initial coin offerings, digital asset sales/distributions and US regulatory issues. Recent recognitions include National Law Journal Blockchain Trailblazer, Kansas City Techweek Tech 100 Ambassador, Kansas City Business Journal “Best of the Bar”. Frequent tech presentations to university groups, interest groups and others. Frequent panelist on tech topics, including FinTech, Blockchain and Cryptocurrency. Frequent author and contributor on technology topics.
Dale Werts is engaged in technology, general business law, and business transactions. His experience includes e-commerce, data, blockchain, cryptocurrency, artificial …
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Method Of Presentation:
General knowledge of the blockchain technology
NY Category of CLE Credit:
Areas of Professional Practice
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Founded over 100 years ago, Withers is a leading international law firm for global businesses, their equity and debt stakeholders, and the executives who manage them. The firm is one of the largest tax law firms in the world and consists of over 160 partners supported by more than 1,000 people across 18 strategically located international offices.
Its global corporate team has the depth and diversity of knowledge to advise on issues that arise over the entire life cycle of a company, from securing initial investment and raising follow on equity and debt capital privately and publicly, to structuring executive and incentive compensation, protecting and enforcing intellectual property rights and day-to-day operational issues, and managing complex governance issues, to completing mergers, acquisitions and exit strategies. They excel at working with corporate clients both large and small, new and long-established and domestic and international. With their unique in-house as well as law firm experience, they focus on anticipating issues and finding solutions, efficiently and cost-effectively.
About Lathrop Gage
Founded in Kansas City, Missouri in 1873, Lathrop Gage is a 250-lawyer AmLaw Second Hundred firm with offices in 10 cities from Los Angeles to Boston. Our attorneys provide strategic guidance in litigation, business and intellectual property law. From the research lab to the factory floor, from oil fields to skyscrapers, our clients are the backbone of our economy. For more than a century, it has been our privilege and our passion to help them achieve their most important ambitions. We look beyond purely legal issues to understand your industry, your competitive landscape, your aspirations as well as your challenges. Lathrop Gage prides itself on being an innovative firm by encouraging growth of modern legal services and the hiring of like-minded legal professionals.
Lathrop Gage LLP and Gray Plant Mooty will merge on January 1, 2020, forming Lathrop GPM LLP. The combination will expand client services, deepen both firms’ core in the Midwest and provide a wider national platform.