Learn the most recent changes and updates that have taken place within SEC on the investigation process of blockchain tokens.
Until recently, many in the ICO space operated under the impression that the SEC was not engaged or perhaps had no jurisdiction over crowdfunding that used blockchain technology. With its Dao Report and related pronouncements and enforcement actions, such a view is no longer tenable and a greater understanding of what the SEC thinks about blockchain tokens, how the SEC operates, and the nature of hot button SEC issues is paramount. This topic will provide blockchain token issuers and related parties with a greater understanding of the SEC regulatory risks involved in selling, marketing, or owning such tokens. Additionally, we will address how to reduce exposure to and best respond to SEC inquiries.
Agenda
Faculty
Nicolas Morgan
Paul Hastings LLP
- Partner in the Investigations and White Collar Defense Group at Paul Hastings LLP
- Served as Senior Trial Counsel in the SEC’s Enforcement Division as lead counsel on a wide variety of litigated matters including insider trading, investment adviser fraud, revenue recognition fraud, broker/dealer fraud, mutual fund market timing, and market manipulation
- Served as a Special Assistant U.S. Attorney for the Southern District of California in one of the first sub-prime mortgage criminal cases leading to conviction
- Represents securities issuers, company officers and directors, investment funds, analysts, and brokers in connection with SEC, DOJ, and Financial Industry Regulatory Authority (FINRA) investigations, litigation, and arbitration
- Can be contacted at 213-683-6181 or [email protected]
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