Scott Andersen, Principal, Andersen, P.C., to Speak at TKG’s Initial Coin Offering (ICO) Regulations: New Opportunities, New Risks LIVE Webcast
UPDATED: The Knowledge Group Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Scott Andersen, Principal, Andersen, P.C. will speak at The Knowledge Group’s webcast entitled: “Initial Coin Offering (ICO) Regulations: New Opportunities, New Risks LIVE Webcast.” This event is scheduled for November 15, 2018 from 12:00 PM - 2:00 PM (ET).
- New York, NY (1888PressRelease) November 06, 2018 - For further details, please visit:
https://www.theknowledgegroup.org/webcasts/initial-coin-offering-regulations/
About Scott Andersen
Scott Andersen is principal at Andersen PC, a securities regulatory and defense law firm, where he concentrates his practice on SEC and FINRA defense, and regulatory guidance to funding platforms and portals, broker-dealers, investment advisers and issuers who seek to raise capital, including those participating in cryptocurrency offerings. Mr. Andersen from March 2012 to February 2015 was deputy regional chief counsel at the Financial Industry Regulatory Authority (FINRA) in Los Angeles, where he oversaw all FINRA enforcement cases prosecuted by the Los Angeles office and managed the West region’s attorneys. Mr. Andersen has broad experience with regulatory investigations and enforcement actions. He has led complex criminal and civil prosecutions for the New York State Attorney General’s office, the New York Stock Exchange and FINRA. He has worked on significant matters involving: pump and dump frauds, illegal stock distributions in violation of Section 5, insider trading, research analysts conflicts of interest, market timing/late trading, enterprise corruption, stock manipulation, improper sales of complex products, and supervision and supervisory control systems. His earlier positions include: enforcement director, FINRA, NYC, July 2007 to March 2012; enforcement director, NYSE Regulation, Inc., NYC, December 2004 to July 2007; trial counsel/senior special counsel, NYSE Regulation, Inc., NYC, August 2003 to December 2004; co-chief, Securities Prosecutions Unit, Bureau of Investor Protection and Securities, Office of the New York State Attorney General, NYC, June 1999 to August 2003; and Assistant Attorney General, Office of the New York State Attorney General, NYC, August 1995 to June 1999. He is a cum laude graduate of Albany Law School and is admitted in New York, Massachusetts (inactive) and Arizona.
About Andersen, P.C.
The firm also provides advice to broker-dealers, investment advisers, funding platforms and Title III funding portals, hedge funds and issuers of securities to ensure compliance with the federal securities laws and the standards required by the SEC, FINRA and the state securities regulators, including when raising capital over the internet under the JOBS Act. In addition, the firm provides compliance advice concerning anti-money laundering (AML); the preparation of written supervisory procedures, including supervisory control procedures; independent testing, identifying weaknesses or vulnerabilities, and improving compliance programs; registration; compliance with new rules; meeting fiduciary duty standards and managing conflicts of interests; advertising, including social media; safe harbors and exemptions under the federal securities laws; the appropriateness and legality of certain compensation, fees, commissions and/or other charges; due diligence for offerings or products, including the sale of complex products to retail investors; and accredited investor verification.
In addition, for select engagements, the Firm represents broker-dealers and registered representatives in FINRA securities arbitration matters.
Event Synopsis:
Initial Coin Offerings (ICOs) continue to attract attention from start-ups as a capital raising strategy. Despite the recent popularity of this funding method, developments over the last few months highlight the risk of fraud and manipulation in this market. These risks have attracted the attention of US regulators and led to significant regulatory and enforcement activity. Moreover, the rapid development of the ICO market and token issuances left regulators and legislators with little time to react. These and other factors have resulted in an unclear federal and state regulatory landscape for ICOs and digital assets that present significant legal and regulatory concerns for both ICO issuers and secondary market actors (e.g., token exchanges).
In this LIVE Webcast, a panel of thought leaders and professionals brought together by The Knowledge Group will discuss recent US regulatory and enforcement developments in the ICO space. The discussion will include a brief history of ICOs and related regulatory developments, best practices and practical tips for avoiding regulatory pitfalls and enforcement actions, and thoughts on the outlook for ICOs as a funding method moving forward.
Key topics include:
• Initial Coin Offerings: Framework
• Scope and Considerations
• Identifying and Addressing Common Risks and Legal Issues
• Legal and Regulatory Trends and Updates
• Outlook
About The Knowledge Group, LLC Live Webcast Series
The Knowledge Group, LLC was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit: http://theknowledgegroup.org/
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