FinTech Law Firm

🚀 VC Fundraising with Rule 506(c): Challenges and Opportunities for Small Issuers 🚀 Raising capital as a small issuer or fund manager isn’t easy, even with the flexibility of Rule 506(c). While general solicitation opens doors, barriers like investor verification and track record requirements often hold many back. In our latest blog post by Yi Ying Wu, we explore: 🔹 The key challenges facing small issuers and underrepresented fund managers. 🔹 Why Regulation D’s Rule 506(c) remains underutilized. 🔹 Potential reforms to make fundraising more accessible and effective. Don’t miss these critical insights for navigating compliance and unlocking capital opportunities! 💡 👉 https://zurl.co/BOgv #RegulationD #VCFunds #CapitalRaising #Rule506c #SmallIssuers #FundManagers #SECCompliance #FinTechLaw

FinTech Law Welcomes Anna Cheng as Of Counsel We are thrilled to announce that Anna C. has joined FinTech Law as Of Counsel. Anna brings a wealth of experience in payments, fintech, and regulatory compliance, making her an invaluable addition to our team. Throughout her career, Anna has held key roles at leading organizations, including Deutsche Bank, Mastercard, Plastiq, and Blackbaud, where she advised on complex legal and regulatory matters. Her expertise spans electronic payments, data privacy and protection, intellectual property, commercial transactions, and product counseling, with a proven track record of helping businesses navigate rapidly evolving markets. Anna’s academic credentials include a JD from Saint Louis University School of Law, an MBA from The Johns Hopkins University, and a bachelor’s degree from the University of Michigan. Her unique combination of legal expertise and business insight aligns perfectly with FinTech Law’s mission to deliver innovative, client-focused solutions. As we continue to grow and expand our services, Anna’s leadership and strategic perspective will enhance our ability to meet the evolving needs of financial and technology firms. Please join us in welcoming Anna to the FinTech Law team! #FinTechLaw #TeamGrowth #DataPrivacy #PaymentSystems #IntellectualProperty #CommericalTransactions #FinTechRegulation

We’re #hiring a new Head of Technology Law in United States. Apply today or share this post with your network.

🚀 The Next Big Thing in AI: OpenAI’s “Operator” Set to Launch in January The AI arms race is heating up, and OpenAI is bringing its A-game with Operator, a new AI agent designed to do more than just chat—it’s here to act. 🧠 What is Operator? This tool will wield AI to complete real-world, multi-step tasks with minimal oversight. Need to book a flight, write complex code, or navigate a tricky web-based process? Operator is designed to handle it. According to CEO Sam Altman, this type of "agentic" AI will feel like a breakthrough, pushing beyond smarter chatbots to truly useful digital assistants. 🔍 Key Features - Agentic Control: It can control a web browser and tackle real-world tasks. - Competition Heats Up: OpenAI joins Anthropic, Microsoft, and Google in the race to perfect AI agents. - Dual Release: Expect a January drop as a research preview and developer API. 🤔 Why It Matters This marks a major evolution in how AI impacts our daily lives. Instead of simply answering questions or providing insights, AI agents like Operator can execute. Whether it's streamlining workflows for businesses or simplifying life for individuals, the race is on to see which agent will deliver the most seamless, human-like execution. With so many players entering the agent space, OpenAI’s challenge will be differentiation. What will make Operator stand out? Seamlessness? Customization? Reliability? What do you think will define the winning AI agent in this race? Let me know your thoughts below! #ArtificialIntelligence #OpenAI #TechInnovation #AgentAI #FutureOfWork

🚨 Decentralized But Not Devoid of Responsibility 🚨 The SEC’s enforcement action against Mango Labs sends a clear message to crypto projects: decentralization is not a free pass from securities laws. In our latest blog post, we break down: 🔹 The key lessons from the SEC’s case 🔹 Why compliance matters—even for DAOs and decentralized platforms 🔹 Practical steps to align your crypto project with regulatory requirements Don’t let misconceptions about decentralization lead to costly mistakes. Stay informed and compliant. 🔍💡 👉 https://zurl.co/gTtK #SECEnforcement #CryptoCompliance #DecentralizedFinance #Web3 #BlockchainRegulation #MangoLabs #FinTechLaw

Lessons from SEC Enforcement Actions Against Merrill Lynch and Harvest Volatility The SEC’s recent enforcement actions highlight the critical importance of aligning business practices with fiduciary obligations and disclosures. In our latest post, we cover: 🔹 Key takeaways from these cases 🔹 Common pitfalls for investment advisers and DeFi projects 🔹 Practical steps to ensure compliance and protect client trust Don’t let misaligned practices lead to costly consequences. Stay ahead with these vital compliance insights. 🔍📈 👉 https://zurl.co/zXdG #SECEnforcement #ComplianceMatters #FiduciaryDuty #InvestmentAdvisers #Transparency #FinancialRegulation #FinTechLaw

Entrepreneurship is a journey of constant learning. Here are a few hard-earned lessons from my startup experience: 1. Act Fast, Learn Faster: Innovation thrives on quick iteration and high conviction—but don’t mistake conviction for stubbornness. Be willing to pivot when you’re wrong. 2. Vision Over Perfection: Your first idea won’t always be the winner. Stay true to your vision and adapt your approach to achieve it. 3. Know Your Market: A great product doesn’t guarantee success. Overestimating market size and underestimating scaling challenges can derail even the best ideas. 4. Humility Wins: You’ll get knocked down. The key is to get back up—fall down seven times, get up eight. Build a strong support system and keep your ego in check. 5. Listen to Customers: Your customers might surprise you. They don’t just want a product; they want a solution. Be ready to meet their real needs. 6. Embrace Uncertainty: Neither founders nor VCs know exactly what’s coming. Focus on what you can control and prepare for the unknown. Success isn’t about avoiding failure—it’s about learning from it. Fall down seven times, get up eight. Keep going. What’s the biggest lesson you’ve learned in your startup journey? #Startups #Entrepreneurship #LessonsLearned

📊 Ensuring Fair Valuations for Level 3 Assets 📊 Valuing Level 3 assets, like illiquid securities and private investments, demands precision and transparency. In our latest post, we explore essential practices for investment advisers to: 🔹 Enhance valuation analysis 🔹 Strengthen compliance with SEC regulations 🔹 Build investor trust through transparent reporting Don’t let valuation errors impact your firm’s reputation. Read more for insights on safeguarding your valuation processes and staying compliant. 📈🔍 👉https://zurl.co/oPMw #FairValuations #Level3Assets #FinancialCompliance #AssetManagement #InvestmentAdvisers #SECCompliance #Transparency #InvestorTrust

Honoring Four Generations of Service: A Veterans Day Reflection As Veterans Day arrives, I am filled with gratitude and pride for those who serve today and my family’s legacy of service to this great nation. Ours is a story that spans four generations, a commitment woven into the fabric of our family. My grandfathers both served, my father served, I have uncles and cousins that served, I served, and now my oldest son, Evan, has stepped up, carrying the torch forward as a 2nd Lieutenant in the US Army Reserve. One of my proudest moments came in May 2023 when I squeezed into my old Navy enlisted uniform—18 years after last wearing it—to render Evan his first salute after graduating from Valley Forge Military College and receiving his commission at 19. The uniform was a little tighter than I remembered, but the honor of that salute bridged the years in a way that no words could. It was a powerful reminder of the sacrifices made by each generation, a salute to tradition, and a father’s unspoken pride. This Veterans Day, I also want to recognize my grandfather, Warrant Officer Leo Doser, for serving over 40 years in the Army National Guard and Idaho National Guard, my brother-in-law, Captain Allen Chrans, who dedicated 20 years to the US Army (including two tours in Iraq), and my close friend Jon Dollan, who gave 24 years of service to the US Navy (including tours in Afghanistan and other hot zones). Grandpa, Allen, and Jon embody what it means to serve with honor and continue inspiring our family. In the spirit of Veterans Day, I’d like to share a Navy poem that has always resonated deeply with me. It's called “The Watch,” and it captures the unending vigilance of those in uniform who protect our freedoms, day and night: For twenty years This sailor has stood the watch… While some of us were in our bunks at night, This sailor stood the watch. While some of us were in school learning our trade, This shipmate stood the watch. Yes… even before some of us were born into this world, This shipmate stood the watch. In those years when the storm clouds of war were seen brewing on the horizon of history, This shipmate stood the watch. Many times, he would cast an eye ashore and see his family standing there, Needing his guidance and help, Needing that hand to hold during those hard times, But he still stood the watch. He stood the watch for twenty years. He stood the watch so that we, our families, and our fellow countrymen could sleep soundly in safety, each and every night, Knowing that a sailor stood the watch. Today we are here to say 'Shipmate... the watch stands relieved Relieved by those you have trained, guided, and led Shipmate you stand relieved... we have the watch... Boatswain...Standby to pipe the side...Shipmate's going Ashore... To those who continue to serve, thank you for standing the watch.

Crypto Founders: Don’t Let SEC Enforcement Catch You Off Guard! The SEC is ramping up its scrutiny on crypto startups, and compliance is more critical than ever. Our latest blog post outlines key strategies to help you stay on the right side of regulations, including: 🔹 Proper asset classification 🔹 Broker-dealer registration 🔹 Disclosure and recordkeeping practices Stay ahead and protect your startup from costly enforcement actions. Read more to secure your business and navigate U.S. securities laws with confidence! 💼✨ 👉 https://zurl.co/WwHX #CryptoCompliance #SECLaws #CryptoRegulations #DigitalAssets #FinTechLaw #CryptoStartups #BlockchainCompliance #LegalTech