IAA’s 2018 Cryptoassets Series - San Francisco

When:  Jun 20, 2018 from 9:00 AM to 11:00 AM (PT)

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 University Club of San Francisco
800 Powell Street
San Francisco, CA 94108
(415) 781-0900


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


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.

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.

Prashant Nisar, CPA is an experienced senior manager in the New York Financial Services Audit Practice of RSM US LLP. He has worked for the National Professionals Standards Group for four years where he advised on complex accounting, auditing quality, internal control over financial reporting and risk management matters within the NPSG. Mr. Nisar has both private and public company experience, focusing on securities trading and market making, clearing and settlement, broker-dealer regulatory reporting, internal control over financial reporting, securities industry regulation and compliance and public reporting. He currently services clients in the securities industries, financial institutions and Blockchain industry and advices clients on accounting and strategic issues. Mr. Nisar holds B.A. and M.A. degrees in Accounting from the University of Mumbai. He is also a Certified Anti-Money Laundering Specialist.

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.

Paul D. Glenn is Special Counsel for the Investment Adviser Association. Previously, he worked for 12 years at the U.S. Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. He also worked at the Office of the Comptroller of the Currency (OTS), U.S. Treasury, as Deputy Chief Counsel and Special Counsel. Mr. Glenn also served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, D.C. and WashingtonFirstBank N.A. in Reston, VA. He holds an LL.M from Georgetown University Law Center and his J.D. and B.A. from Case Western Reserve University. He holds an honorary doctor of laws degree from Nyack College.


8:30 - 9:00am

Registration and Continental Breakfast

9:00 - 11:00am

Presentations and Discussion

Register Today1

Registration is limited and expected to reach capacity. If you have registration questions, please contact the IAA at iaaevents@investmentadviser.org 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.

Cancellation Policy
Paid Registrants: The IAA will refund your registration fee if you inform us on or before May 30. 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 iaaevents@investmentadviser.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 lisa.gillette@investmentadviser.org 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.

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Lisa Gillette
(202) 293-4222