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Overview of FinTech Regulation and Compliance

General Credits
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A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech).

Overview of the core principles and regulatory regimes in the United States governing key aspects of financial services including banking, securities, funds, money transmission, commodities, and anti-money laundering, and how these affect the operations of FinTech companies.

This CLE course is designed for attorneys, professionals or anyone concerned with starting a FinTech company or service.

Lecturer Bio

Charles A. Christofilis, Esq

Charles is the General Counsel of CoinZoom Exchange and CZ Securities. Charles is an experienced General Counsel, CCO and AML Officer with a proven track record of developing, implementing, and running successful compliance and AML programs, including developing and automating compliance programs for new FinTech companies.

He was the Chief Compliance Officer of several of the largest Investment Advisers in the world, more recently was the General Counsel and Chief Compliance Officer of several of the earliest entrants into the Crypto Asset space and is the author of the bestselling book Crypto Asset & ICO Governance, Risk Management & Compliance.

Charles earned a Juris Doctor (law degree) from the Touro Law Center in New York, an MBA from the University of San Francisco, a bachelor’s degree from Pace University in New York City, is a Certified Anti-Money Laundering Specialist (CAMS) and is a member of the New York Bar, New Jersey Bar and Utah Bar. He currently holds FINRA Series 7, 24, 27, 79 and 63 Securities Licenses and previously held Series 3, 87 and 65 Licenses.

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