The Investment Adviser Association's 2018 Cryptoassets Series, sponsored by Seward & Kissel LLP, features in-depth, in-person discussions on cryptoassets and blockchain in three cities. The discussions will be led by expert panelists with different backgrounds and perspectives on these emerging technologies.
The Harvard Club of New York
35 West 44th Street (between 5th and 6th Avenues)
New York, NY 10036
West Room (third floor)
Topics will include:
- Practical business and operational concerns with sponsoring, investing in, and/or holding various types of cryptoassets
- Legal status of different types of cryptoassets; latest legal developments from SEC, CFTC, Treasury and others
- Auditing and testing approaches
- Tax status and implications
- Thoughts on liens: using cryptoassets as collateral and treatment in bankruptcy
- Cautionary tales and development of best practices
- Looking ahead: The future of blockchain
Steven Baum is the Co-Founder and COO of IronChain Capital, a new investment platform focused exclusively on the cryptocurrency asset class. Prior to co-founding IronChain, Steven spent 15 years working in the hedge fund industry, serving as President and COO of JMB Capital Partners, Partner and COO of Ivory Investment Management, and Partner and COO of Pierce Street Capital Management (a firm he also co-founded). He served as Vice President in the investment banking group at Montgomery Securities and subsequently as Principal at Thomas Weisel Partners. Steven worked as the Executive Director of Broadband Strategy and Planning at Pacific Telesis Group (now part of AT&T), and also as Director of Strategic Planning and Analysis at Sony Pictures Entertainment. Steven started his career at Morgan Stanley, working as a financial analyst in the firm’s M&A department. He received a B.A. in Economics, with honors, from the University of California at Berkeley, and is actively involved with the Epilepsy Foundation of Greater Los Angeles, and serves as the foundation’s Board President.
Jon P. Brose is a partner in Seward & Kissel’s Tax Group. He represents investment funds and their managers on all aspects of their businesses, including management entity and fund formation, seeding arrangements, mergers and acquisitions, partnership tax issues, international tax issues, compensation arrangements, and ongoing investment activities and transactions. Jon is experienced with a broad range of investment strategies and asset classes, including long/short equity, credit, distressed asset, commodities and real estate. In addition, Jon provides tax advice regarding securities offerings, structured products, derivatives and other financial instruments, repurchase agreements, credit facilities, and partnerships and other joint ventures, as well as a variety of other commercial transactions and capital markets activities. He holds a B.A. from Miami University, a J.D. from Emory University School of Law (Order of the Coif), and an LL.M. (in Taxation) from New York University School of Law.
Will Coleman is Director of Technology Advisory Services at Cohen & Co. With a career spanning more than 20 years, Will serves as a technology consultant to clients on issues ranging from information technology security and controls, to big data and artificial intelligence, to cryptocurrency funds. He leads the team that designs customized systems for clients, including producing investment portfolio statements, creating Schedule K-1 packages and checking transactions for conflicts of interest to support Section 206(3) of the Investment Advisers Act of 1940. In the cryptocurrency space, Will has been instrumental in helping the firm design and implement programs to audit and support these specific funds. He also works with cryptocurrency managers and their service providers to help ensure their operations are set up properly from a technology and controls perspective.
Paul M. Miller is a partner in Seward & Kissel’s Investment Management Group in Washington, D.C. Paul’s practice focuses primarily on registered investment advisers, registered investment companies and broker-dealers. He has worked extensively on the full range of matters affecting registered investment advisers, including their formation, their registration with the Securities and Exchange Commission under the Investment Advisers Act of 1940, their participation in managed account and wrap programs and their ongoing regulatory reporting and compliance obligations. He regularly advises registered investment companies and registered investment advisers on issues relating to their periodic examination by the staff of the Securities and Exchange Commission. He received his B.S. from University of North Carolina at Chapel Hill, Kenan - Flagler Business School and his J.D. from Syracuse University College of Law.
Anthony Tu-Sekine is Head of Seward & Kissel’s Blockchain and Cryptocurrency Group. He also is a member of the Firm’s Capital Markets and Securities and Investment Management Groups, and is located in Seward & Kissel's Washington, D.C. office. As member of S&K’s Blockchain and Cryptocurrency Group, Anthony has advised clients on a wide range of topics, including how to structure, issue and register tokens in ICOs, custody of both utility tokens and tokens that are securities, transfer and liquidity issues, and investments in crypto assets by funds and other investors. Anthony has advised clients in both public and private capital markets deals, and his clients include corporations, funds and other entities. He is one of the leading experts on physical precious metals funds. Anthony also has represented issuers and underwriters in filings with FINRA in connection with public offerings. He received his B.A. from California State University, Fullerton, and his J.D. from Harvard Law School.
Gail C. Bernstein (moderator) is General Council at the Investment Adviser Association. She joined the IAA from the law firm of WilmerHale, where she had been a Special Counsel in the Securities Department from 2008 until June 2017. Prior to that, Ms. Bernstein was first an associate and then a partner at Wilmer, Cutler & Pickering (now WilmerHale) in Washington, DC. While in private practice, she counseled clients on all aspects of financial and securities regulation, with a specific focus on the Dodd-Frank Act and securities and derivatives law and compliance. Ms. Bernstein grew up in South Africa and earned her B.A. from the Hebrew University of Jerusalem in 1982 and her law degree from Harvard Law School in 1988. After law school, she clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts and was an associate at the Boston law firm of Mintz Levin from 1989-1990, when she moved to Washington. She is a member of the District of Columbia and Massachusetts bars.
8:30 - 9:00am
Registration and Continental Breakfast
9:00 - 10:45am
Presentations and Discussion
Registration is limited and expected to reach capacity. If you have registration questions, please contact the IAA at email@example.com or (202) 293-4222.
IAA Regular Members2
IAA Associate Members3
1Eligibility for registration rate will be confirmed prior to registration confirmation.
2Employees of SEC-Registered Investment Advisory firms that are current members of the IAA at the time of registration and on the day of the meeting are eligible to receive the complimentary member rate.
3Employees of firms that are current associate members of the IAA at the time of registration and on the day of the meeting are eligible to receive the discounted associate member rate.
Consent to the Use of Registrant’s Image or Voice: Registration and attendance at, or participation in IAA live events constitutes an agreement by the registrant that IAA may use and distribute the registrant’s image or voice in photographs, videotapes, electronic reproductions and audiotapes, both now and in the future.
Paid Registrants: The IAA will refund your registration fee if you inform us on or before April 26. No refunds will be made after that point. There is no refund for “no shows.” Notice of cancellation must be received by the above date in writing at firstname.lastname@example.org. Substitutions may be made at any time at no additional fee.
Complimentary Registrants: Kindly let us know as soon as possible if you are unable to attend. Registration is limited and expected to reach capacity. Notification will allow us to confirm a wait-listed participant. You are welcome to send a substitute.
Continuing Education Credit
CLE and NASBA CPE credit are available. More information available soon.
Email email@example.com or call the IAA office at (202) 293-4222.
The IAA thanks its Series Sponsor,
Seward & Kissel, founded in 1890, is a leading U.S. law firm with an international reputation for excellence. We have offices in New York City and Washington, D.C.
Our practice primarily focuses on the financial services, corporate finance and capital markets areas. The Firm is particularly well known for its representation of investment advisers and related investment funds (including mutual funds and hedge funds), broker-dealers, institutional investors, major commercial banks, investment banking firms and transportation companies.
With respect to our investment advisory clients, we provide a full range of legal services. We assist in formation and registration under federal and state securities laws, and provide advice to these clients regarding: advisory contracts with clients; disclosure documents; compliance with securities laws, trading and reporting requirements; advertising and marketing activities; establishing “wrap fee” and other managed account programs; change of control issues; ERISA and tax matters; and employment and general business matters. We also offer a wide range of compliance support services to our investment management clients.