BLOCKCHAIN AND FINTECH

 

With certified education in blockchain strategies for business and financial technology from the University of Oxford, I consult with businesses to assist them with assessing the viability of blockchain integration into existing and prospective business processes. Additional analysis includes whether the blockchain will issue tokens, and whether issued tokens trigger securities treatment in applicable jurisdictions.  Financial services include advice and counsel regarding FinCEN regulations for money service businesses and applicable state money transmitter licensing, Bank Secrecy Act requirements for KYC/AML compliance, and Title 31 compliance audits and related third party independent reviews for financial services providers inclusive of blockchain-issued coins/tokens.

  • Blockchain development, strategies and framework

  • Crypto-exchanges and their regulation

  • Digital currencies

  • Enterprise education for industry applications

  • Initial Coin Offerings / Security Token Offerings (ICOs/STOs)

  • Money Service Business compliance and Money Transmitter License

  • Smart contracts and developer liability

  • Tokenomics Analysis: Security vs. Utility vs. Hybrid

  • Other DLT related technologies, e.g. sharged databases, wallets, multi-sig. transaction auth., bio-auth., etc.

  • Evolving regulatory environment in the US and abroad

BUSINESS DEVELOPMENT

 

In a world of rapidly evolving technology, businesses must be alert, flexible and adaptable in order to stay competitive. I take the time to understand the greater landscape of your business to keep you apprised of the latest developments in your industry that positions you to be an industry leader. With experience consulting for domestic and global technology companies, I provide business support services to help you develop profitable sales and distribution channels, and to assess new technologies for development or integration into your existing operations.

 

Futher services include the following:

  • B2B, B2C, and B2B2C relationship management

  • Business plan development and implementation

  • Compensation strategies

  • Directed research on industies, markets and technology

  • Executive management services

  • Financial statements review with a focus on unit economics and supporting assumptions necessary for securities compliance

  • Fundraising strategies for capital formation, debt financing and venture funds

  • Go-to-market strategies

  • Growth and exit strategies and implementations

  • Partnership and joint venture opportunities

  • Project management involving assessment, analysis, final reports and recommendations for the succesful adoption of enterprise-wide solutions

CORPORATE LAW

 

Whether you are just starting out or well-along in development, I prepare, review and advise on corporate governance matters to help you mind your clubhouse rules. These services include how to structure corporations, partnerships and LLCs, as well as navigate complex equity ownership and tax issues. Documents traditional to governance include certificates of incorporation, bylaws, operating agreements, shareholder agreements, cap tables, meetings and voting records. Likewise, I advise and draft all contracts and related documentation necessary for the development of business and consumer relationships for the distribution and sale of both proprietary and integrated hardware, software and networking products, services and solutions among cross-industry participants.

  • B-Lab Certification

  • Business formation, restructuring and related taxation

  • Business fundraising, capital formation and securities compliance

  • Compliance for business and technology standards, e.g. ISO

  • Contracts drafting and review adhering to ABA approved MSCD standards

  • Corporate Social Responsibility (CSR) and Environmental, Social and Corporate Governance (ESG)

  • Cross-border transactions

  • Data security and privacy practices and policies

  • Employment and independent contractor agreements and related tax matters

  • Multi-national corporations

  • United Nations Global Compact and Sustainable Development Goals

INTELLECTUAL PROPERTY

 

In the digital age, all businesses have intellectual property of value attributed to its name, website, and social media presence in addition to its goods, services and related innovation. I have ample experience helping my clients develop comprehensive strategies for the identification, protection and monetization of intellectual property including patents, copyrights, trademarks and trade secrets.  I likewise draft and negotiate licensing agreements and provisions as it relates to firmware, software, documentation and manuals for proprietary products, services and solutions.  Further, I do file trademark registrations and provide trademark dispute resolution services exclusive of litigation.

  • Identify and develop intellectual property integral to active businesses

  • Develop intellectual property strategies for protection and monetization

  • Prepare comprehensive licensing plans for patents, trademarks and copyrights

  • Implement strategies for trade secret protection

  • Registration of trademarks and copyrights both domestic and international

SECURITIES

 

Raising money is tricky business, fraught with complicated securities regulations that come with heavy penalties for non-compliance both in the US and abroad. I educate my clients on the finer details of securities regulations and how to meet requirements applicable to their fundraising efforts. Together with senior management, I research and interview investment bankers and broker-dealers, and negotiate placement agent terms. I develop offering circulars and disclosure statements, organize virtual data rooms for investor diligence and general investor relations. I even consult with security token launch platform programmers to ensure the proper protocols are programmed into security tokens and other digital assets.

  • Capital formation strategies and implementation

  • Compliance, disclosure and reporting

  • Equity compensaton strategies and implementation

  • Exchange registration

  • Foreign offerings

  • Investor accreditation verification

  • Intrastate offerings and compliance

  • Mergers and acquisitions

  • Private placements

  • Public offerings

  • Regulations A, CF & D

  • Securities Token Offerings (STOs) / Digital Securities Offerings (DSOs)

  • Tokenomics analysis: security token vs. utility token vs. hybrid token

TECHNOLOGY

 

With more than 20 years working with companies dedicated to the development of emerging technologies, I have been blessed to work side-by-side with incredible engineers who are largely credited with having developed many of the internet protocols that support modern unified communications and IoT today (e.g. H.264). Consequently, I am uniquely equipped to collaborate with entrepreneurs and engineers developing today's emerging technologies whether focused on hardware, software, network architecture, data management or any combination. I work with you to protect your best interests while encouraging continued growth.

  • Communications bridging with directors, executive management, and investors

  • Identification and implmentation of international standards and protocols, e.g. ISO

  • Market research and reporting for related technology development

  • Project management for installation and support

  • Strategies for protection and monetization of proprietary technologies

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