HomeWebcastSEC’s Stricter Enforcement Against ICOs: What You Need to Know
Online CLE SEC’s Enforcement CLE

SEC’s Stricter Enforcement Against ICOs: What You Need to Know

Live Webcast Date: Wednesday, September 12, 2018 at 12:00 pm - 1:30 pm (ET)

Online CLE SEC’s Enforcement

Join us for this Knowledge Group Online CLE SEC’s Enforcement Webinar. With blockchain technology significantly changing the banking, payments and securities landscapes, initial coin offerings (ICOs) have become increasingly popular. An ICO is a way of raising money through the issuance of a virtual token, using the same blockchain technology that powers cryptocurrencies. This type of funding activity has become an attractive mechanism for startups, entrepreneurs, and other companies because of its radically simple funding techniques. However, in the summer of 2017, the U.S. Securities and Exchange Commission (SEC) issued an investigative report concluding that tokens issued by a virtual organization called the DAO constitute securities, and therefore are subject to securities laws and regulations. Since the release of the DAO report, SEC officials have publicly stated that issuers of digital tokens that have the hallmarks of a security, i.e., an investment, should either be registered or obtain a valid exemption.  Moreover, from mid-2017 to mid-2018, the SEC has initiated 11 ICO related enforcement actions. Civil cases related to ICOs are expected to arise as SEC intensifies its ICO regulation.

In this Webcast, a team of thought leaders and professionals assembled by The Knowledge Group will present important issues surrounding SEC’s stricter enforcement against ICO violations. Speakers will also identify key risk areas and address common issues and threats to avoid legal challenges and other damages.

Key topics include:

  • Initial Coin Offerings – What It Is and What You Need to Know
  • Scope and Considerations
  • Legal Issues and Limitations
  • Identifying Risks Areas
  • Significant Court Rulings
  • Trends and Developments

Who Should Attend

  • Corporate & Securities Lawyers
  • Brokers and Dealers
  • Investors
  • Digital Finance Professionals
  • Financial Fraud Practicing Lawyers
  • Senior Financial Management
  • Financial Crime Attorneys & Consultants
  • Risk and Compliance Officers
  • Legal Counsel
  • Top Level Management
  • Start Up, Entrepreneur and Small Business Individual Companies or Groups
  • Other Interested/Related Individuals

Preview Podcast

Please click the podcast below to hear the speakers discuss the key topics for this webcast.


Online CLE SEC’s Enforcement
Robert Lindholm
Of Counsel
Nelson Mullins Riley & Scarborough LLP
Online CLE SEC’s Enforcement
Kan M. Nawaday
Venable LLP
Online CLE SEC’s Enforcement
John E. Rollins
Managing Director
Ankura Consulting Group, LLC

Click Here to Read Additional Material

Online CLE SEC’s Enforcement

Robert Lindholm, Of Counsel
Nelson Mullins Riley & Scarborough LLP
  • What is an ICO and why should I care?
  • SEC v. Howey
  • Recent SEC Enforcement Actions
    • The DAO Report
    • In the Matter of Munchee, Inc.
    • In the Matter of Tomahawk Exploration LLC

Kan M. Nawaday, Partner
Venable LLP
  • Criminal and DOJ focus

John E. Rollins, Managing Director
Ankura Consulting Group, LLC
  • Investigating the financial analysis to help attorneys if there is an enforcement action
  • Red flags of fraudulent signs

Online CLE SEC’s Enforcement

Online CLE SEC’s Enforcement

Robert LindholmOf CounselNelson Mullins Riley & Scarborough LLP

Robert L. Lindholm is of counsel in Nelson Mullins Riley & Scarborough LLP’s Charlotte and New York offices where he focuses his practice on government investigations and white collar defense, complex business litigation, class action defense, and eDiscovery and litigation readiness. Mr. Lindholm has experience representing large banks, hedge funds, and other Fortune 500 companies in government investigations and complex commercial litigation and securities matters. In addition, he has appellate experience at both the federal and state levels. His background includes representing clients before federal and state regulators, including the Securities and Exchange Commission, Department of Justice, and Commodity Futures Trading Commission, and in federal and state courts, including in multidistrict litigation proceedings.  Prior to joining Nelson Mullins, Mr. Lindholm was an associate at Milbank, Tweed, Hadley & McCloy in New York and also completed a nine-month secondment in the New York office of Goldman, Sachs & Co. in the Business Intelligence Group/Compliance Group.

Online CLE SEC’s Enforcement

Kan M. NawadayPartnerVenable LLP

Kan M. Nawaday is a member of Venable’s Investigations and White Collar Defense Practice Group, where he represents corporations and individuals in government and regulatory investigations and enforcement actions, as well as in internal investigations, white collar criminal defense, and complex business litigation matters.  Mr. Nawaday is a former federal criminal prosecutor who served over eight years in the United States Attorney’s Office for the Southern District of New York.  Mr. Nawaday has tried 15 federal criminal trials, has briefed and argued numerous appeals, and was a member of the public corruption and asset forfeiture units of the United States Attorney’s Office.

Online CLE SEC’s Enforcement

John E. RollinsManaging Director Ankura Consulting Group, LLC

John E. Rollins has over 17 years of experience serving as either an expert witness or consultant in an array of matters. Mr. Rollins focuses his practice on helping clients throughout the U.S. and internationally work through complex and unstructured business challenges in the context of high-stakes litigation and other settings, including complex commercial disputes, shareholder litigation, bankruptcy matters, partnership/post-acquisition disputes, White Collar defense, fraud and cybercrime investigations, ability-to-pay analyses, asset tracing, and responses to regulatory enforcement actions or inquiries.

Online CLE SEC’s Enforcement

Course Level:

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

   Basic Knowledge in Blockchain Technology

Course Code:

NY Category of CLE Credit:

Total Credits:
   1.5 CLE

No Access

You are not logged in. Please or register to the event to gain access to the materials and login instructions.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

Nelson Mullins Riley & Scarborough LLP offers the strength and resources of attorneys and professional staff experienced in a range of services. We provide advice and counsel in litigation, corporate, economic development, securities, finance, intellectual property, government relations, regulatory, and other needs of clients ranging from private individuals to large businesses, including many publicly held companies. Established in 1897, Nelson Mullins has more than 575 attorneys and other professionals with offices in 11 states and Washington, DC. For more information on the Firm, go to www.nelsonmullins.com.

Website: https://www.nelsonmullins.com/

Venable is an American Lawyer 100 law firm.  With more than 675 attorneys across the country, we are strategically positioned to advance our clients’ business objectives in the U.S. and abroad.  Our clients rely on Venable's proven capabilities in all areas of corporate and business law, complex litigation, intellectual property, and regulatory and government affairs.

Website: https://www.venable.com/

Ankura is an expert services firm defined by HOW they solve challenges. Whether a client is facing an immediate business challenge, trying to increase the value of their company or protect against future risks, Ankura designs, develops, and executes tailored solutions by assembling the right combination of expertise. They build on this experience with every case, client, and situation, collaborating to create innovative, customized solutions, and strategies designed for today’s ever-changing business environment. This gives their clients unparalleled insight and experience across a wide range of economic, governance, and regulatory challenges. At Ankura, they know that collaboration drives results.

Website: https://www.ankura.com/

Ultimate Value Annual Program

Bring a colleague for only $149, a savings of $50 per additional attendee.

  • Unlimited Access to Live & Recorded Webcasts
  • Instant Access to Course Materials
  • And More!