On-Demand   On-Demand Web Programs

FinTech 2018

Released on: Aug. 20, 2018
Running Time: 06:07:23

The financial services industry is changing rapidly. Technology is revolutionizing securities investing and trading, transaction payment methodologies, and the provision of investment advice. This program will explore the legal and compliance issues arising out of the explosive advances in financial technology, including crowdfunding, blockchain technology and cryptocurrency, including bitcoin, and the advent of robo-advisors, among others.  

Lecture Topics [Total time 06:07:36]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks* [00:02:58]
    K. Susan Grafton
  • Robo-Advisers and Financial Technologies for Trading – Regulatory Guidance and Risk Management [01:02:52]
    Derek Newman, Rochelle G Kauffman Plesset, Paul Stevens
  • Crowdfunding [00:59:54]
    Susan I. Gault-Brown, Bjorn J. Hall, Barbara A. Stettner, Jennifer G. Riegel
  • FinTech AML, Cybersecurity and Privacy [01:01:45]
    Alma M. Angotti, Andras P. Teleki, Deborah Connor
  • BlockChain and Cryptocurrencies 101 [01:00:04]
    Dror Futter, Lilya Tessler, Cathy Yoon
  • BlockChain and Cryptocurrencies – The Global Regulatory Landscape [01:00:44]
    Jeffrey S Davis, Daniel Alter, Daphna A. Waxman, Haimera A. Workie, K. Susan Grafton
  • Innovative uses of Distributed Ledger Technology [00:59:06]
    Jeremy Senderowicz, Allen Brandt, Brian S Trackman

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • COMPLETE COURSE HANDBOOK
  • Report on Digital Investment Advice (March 2016)
  • Guidance Update: Robo-Advisers (February 2017)
  • Investor Bulletin: Robo-Advisers (February 23, 2017)
  • Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisors; Request for Comment on Enhancing Investment Adviser Regulation (April 18, 2018)
  • Ze’-ev Eiger and Bob Xiong, MOFO Jumpstarter, Tracking State Crowdfunding Regulations (November 2, 2017)
    Susan I. Gault-Brown
  • Summary of State Crowdfunding Regulations (October 2017)
    Susan I. Gault-Brown
  • Overview of Exemptions Used for Investment “Crowdfunding” (August 19, 2016)
    Bjorn J. Hall
  • Regulation Crowdfunding: A Small Entity Compliance Guide for Issuers (May 13, 2016)
  • Regulation A+: What Do We Know So Far? (November 2016)
    Anzhela Knyazeva
  • Registration of Funding Portals: A Small Entity Compliance Guide (January 18, 2017)
  • Online Securities Offers, Sales and Trading: Broker-Dealer Considerations in the Pre and Post JOBS Act Environments
    Sherry Qian, Barbara A. Stettner, Chelsea Pizzola
  • NASAA Announces Results of “Operation Cryptosweep,” Praised by SEC Chairman (May 2018)
    K. Susan Grafton
  • Employers: Are You Ready for a Cyberwar? Attackers Using Ransomware Are Saying Show Me Your Bitcoin! (May 2017)
    K. Susan Grafton
  • FinCEN Warns That Virtual Currency Activities Are Subject to Anti-Money Laundering Obligations (April 2018)
    K. Susan Grafton
  • Blockchain Law: ICO Regulation and Other Legal Considerations in the Blockchain Ecosystem (Winter 2018)
    Dror Futter
  • Bitcoin and Blockchain (Distributed Ledger) Technology: A Basic Primer Plus Applicability to Financial Services and Automotive Industry (June 22, 2017)
    Lee A. Schneider
  • OFAC Releases Guidance on Cryptocurrency (April 2018)
    K. Susan Grafton
  • Decentralized Blockchain Technology and the Rise of Lex Cryptographia
    Primavera De Filippi, Aaron J. Wright
  • The Securities Exchange Commission’s Section 21(a) Report on “The DAO”: Are Virtual Tokens or Currency Securities? (August 16, 2017)
    K. Susan Grafton
  • Bitcoin Futures Trading Commences; Implications for Funds and Registered CPOs and CTAs (December 2017)
    K. Susan Grafton
  • Irish Government Releases Paper on Virtual Currencies and Blockchain Technology (April 2018)
    K. Susan Grafton
  • FCA Publishes Statement on Cryptocurrency Derivatives (May 2018)
    K. Susan Grafton
  • SEC Chairman Issues Major Statement on Cryptocurrency and ICOs (December 2017)
    K. Susan Grafton
  • SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 2018)
    K. Susan Grafton
  • SEC Softening Stance on Cryptocurrency? (May 2018)
    K. Susan Grafton
  • SEC Staff Seeks Industry Engagement on Questions Regarding Development of Funds Holding Cryptocurrency-Related Products (January 2018)
    K. Susan Grafton
  • The European Commission Action Plan for FinTech Includes Blockchain Priorities (March 2018)
    K. Susan Grafton
  • Global Update: Regulators Focus on Initial Coin Offerings
    Andrew Schaffer, Jeremy Senderowicz
  • A CFTC Primer on Virtual Currencies (October 17, 2017)
    K. Susan Grafton
  • CFTC Staff Aligns with SEC Position on Initial Coin Offerings: Tokens May Be Commodities (October 2017)
    K. Susan Grafton
  • Federal Court Ruling Recognizes CFTC Jurisdiction over Cryptocurrencies as Commodities (March 2018)
    K. Susan Grafton
  • U.S. v. Coinbase: Virtual Currency Holders Not Outside the IRS’s Reach (December 2017)
    K. Susan Grafton
  • Wyoming Passes Law Creating New Asset Class for Cryptocurrencies (March 2018)
    K. Susan Grafton
  • Distributed Ledger Technology: Implications of Blockchain for the Securities Industry (January 2017)
  • House Financial Services Committee Holds Hearing to Discuss Cryptocurrencies, ICOs (March 2018)
    K. Susan Grafton

Presentation Material

  • Online Securities Offers, Sales and Trading
    Barbara A. Stettner
  • BlockChain and Cryptocurrencies 101
    Dror Futter
  • BlockChain and Cryptocurrencies 101
    Lilya Tessler, Cathy Yoon
  • Next Generation of DTCC's Trade Information Warehouse
    Allen Brandt
Chairperson(s)
K. Susan Grafton ~ Dechert LLP
Speaker(s)
Daniel Alter ~ Murphy & McGonigle
Alma M. Angotti ~ Managing Director and Co-Head of Global Investigations and Compliance, Navigant Consulting, Inc.
Allen Brandt ~ Executive Director and Associate General Counsel, Depository Trust and Clearing Corporation
Deborah Connor ~ Acting Chief, Money Laundering and Asset Recovery Section, U.S. Department of Justice
Jeffrey S Davis ~ Nasdaq, Inc.
Dror Futter ~ RIMÔN Law
Susan I. Gault-Brown ~ Morrison & Foerster LLP
Bjorn J. Hall ~ Rise Companies Corp.
Derek Newman ~ Senior Regulatory Counsel, Motley Fool Wealth Management
Jennifer G. Riegel ~ Special Counsel, Office of Small Business Policy, Division of Corporation Finance, US Securities and Exchange Commission
Jeremy Senderowicz ~ Dechert LLP
Barbara A. Stettner ~ Allen & Overy LLP
Paul Stevens ~ Dechert LLP
Andras P. Teleki ~ Managing Member, Teleki AML and Cybersecurity Law Firm , Chief Legal Officer, M3Sixty Administration, LLC
Lilya Tessler ~ Partner, Sidley Austin LLP
Brian S. Trackman ~ Counsel on FinTech and Innovation and Attorney Lead, LabCFTC, US Commodity Futures Trading Comm
Daphna A. Waxman ~ Attorney, US Securities and Exchange Commission
Cathy Yoon ~ Genesis Block LLC
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

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Arizona:  PLI’s on-demand web programs qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s on-demand web programs qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

Louisiana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Ohio:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Rhode Island:  PLI’s on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

Related Items

Live Programs  Live Programs

FinTech 2019 (New York, NY) Aug. 12, 2019

Handbook  Course Handbook Archive

FinTech 2019  
FinTech 2018 K. Susan Grafton, Dechert LLP
 
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