Celesq® Attorneys Ed Center

Digital Asset Regulation: What the SEC Is Doing and Why It Matters

Program Number: 29114

Program Date: 06/18/2019

Description

Since the U.S. Securities and Exchange Commission (SEC) issued its groundbreaking “DAO Report” in June 2017, pulled the plug on the Munchee Inc. ICO in December 2017, initiated its “Crypto Industry Sweep” in early 2018, and subsequently commenced numerous enforcement actions, market participants have been waiting for clear guidance from the regulator on what types of digital assets are subject to SEC regulation. In April 2019, the SEC staff at last responded with its “Framework for ‘Investment Contract’ Analysis of Digital Assets,” a 13-page memorandum that describes the factors used by SEC staff for assessing whether digital assets are "investment contracts" subject to federal securities laws. Simultaneously, the SEC staff issued its first crypto-related no-action letter. Join us for a discussion of this new guidance, the no-action letter, and their implications for digital assets.

$95.00Online Audio Add to Cart

Available in states

California, Colorado Eligible, Georgia, New Jersey Eligible, New York, New York - BOTH New and Experienced Attorneys, Texas Self Study

Credit Information

50 minute credit hour - 1.0 General CLE credit, based on a 50-minute credit hour
60 minute credit hour - 1.0 General CLE credit, based on a 60-minute credit hour

State Program Numbers

Credit Eligible for Both New and Experienced Attorneys in NY

Presenters


Richard Kelley, Esq.

DLA Piper

Richard Kelley focuses his practice on internal compliance and investigations and other general litigation.

Prior to joining DLA Piper, Richard litigated various complex family law matters and represented clients in asylum proceedings.

 

Benjamin Klein, Esq.

DLA Piper

Benjamin Klein is a former international prosecutor who represents clients in complex commercial, regulatory and white-collar criminal matters, including cryptocurrency and corruption investigations by the US Department of Justice, the US Securities and Exchange Commission, and other enforcement agencies – both foreign and domestic.

Ben's experience includes conducting investigations and counseling clients on matters involving the Foreign Corrupt Practices Act (FCPA), the UK Bribery Act and the False Claims Act. He has performed cross-border investigations, risk assessments and compliance reviews in nearly two dozen countries on practically every continent including Africa, Asia, Europe and Latin America. Ben also routinely performs anti-corruption compliance due diligence for acquisitions, joint ventures, equity investments, and other transactions.

Ben regularly advises clients in a number of industries—including the energy, life sciences and technology sectors—on the development and improvement of corporate compliance programs and has drafted numerous compliance policies, operating procedures and codes of conduct. He also conducts anti-corruption compliance trainings for his clients, including trainings for officers, directors and corporate executives.

Ben is the Editor-in-Chief of DLA's Global Anticorruption Newsletter and a frequent commentator on topics ranging from crypto regulation to anticorruption enforcement. His writing has been featured in print and digital publications including Law360, the National Law Journal, the New York Law Journal, the Daily Business Review, Yahoo! Finance, Corporate Counsel, and the Journal for Investment Compliance.

 

Deborah Meshulam, Esq.

DLA Piper

Deborah Meshulam has more than two decades of securities enforcement defense experience trying the full range of cases arising from allegations of securities law violations and related breaches of fiduciary duty.

Deborah represents clients in SEC and Department of Justice (DOJ) investigations, securities class actions and derivative lawsuits relating to claims of securities law violations, FCPA violations and counsels clients on compliance, regulatory and corporate governance matters, including issues relating to compliance with Sarbanes-Oxley corporate governance and auditor independence requirements. She also counsels clients on Dodd Frank whistle blower program matters. Deborah also represents clients in Public Company Accounting Oversight Board (PCAOB) investigations, FINRA and Exchange proceedings and in Exchange delisting hearings.

Deborah regularly conducts investigations on behalf of public companies or their audit committees, often relating to FCPA questions, accounting issues, alleged securities law violations and employee misconduct. She also regularly advises clients on securities law compliance and litigation avoidance. She has written on securities law issues for legal publications and is a frequent speaker at professional programs on securities-related issues. She also represents clients in rulemaking proceedings and in SEC inquiries from the Divisions of Corporate Finance and Trading and Markets, the Office of Chief Accountant and the Office of Compliance Inspections and Examinations.

Deborah's securities practice also includes counseling on a wide range of corporate governance and regulatory matters, including financial reporting and disclosure issues, design and implementation of compliance programs under the securities laws and the FCPA as well as issues faced by brokers/dealers, investment advisers and other regulated entities.

 

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