FinTech, Blockchain, Cryptocurrencies and Digital Assets

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• Crypto-assets and blockchain regulatory issues, enforcement action and sanctions analysis

• Strategic regulatory advice and guidance

• Federal and state level jurisdictional regulatory developments 

• Advice on non-US crypto-friendly jurisdictions

• Regulatory strategy for initial coin offerings (ICOs) and token generating events 

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Strategic Solutions

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• Privacy and Data Protection 

• Cybersecurity

• C-Suite Advisory

• Due Diligence (M&A and succession planning)

• Vendor Due Diligence

• Governance Support (board and committee materials)

• ​Strategic Technology Guidance

• Presentations

• Best Practices

• Ad-hoc Inquiries

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Compliance Program Support

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• Annual Compliance Program

• Compliance Policies and Procedures Development and Implementation

• Compliance Program Monitoring and Testing

• Code of Ethics Development and Administration 

• Business Continuity Planning and Disaster Recovery

• Updates and Disclosures on regulatory forms (e.g., Form ADV Part 1, ADV Part 2A and Part 2B, Form 13F, Form13H) 

• Compliance Training

• Compliance Calendar

 

Examinations 

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• Mock SEC Examinations

• Regulatory Exam Support

• Deficiency Response Support 

• Post-Litigation Support (after settled SEC administrative enforcement proceedings)

 

Reviews

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• Gap Analysis and Risk Assessments 

• Targeted Reviews

• Rule 206(4)-7 Annual Compliance Reviews

• Compliance Program Reviews

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Need help with another item not specifically listed?  Please contact us to discuss.