Getting Your House in Order:

Best Practices for Fintechs Preparing for Investment/Acquisition

  

 

 

February 8, 2018

5:30 PM to 8:00 PM

 

  

Hosted by: K&L Gates

 

 

K&L Gates Office Four Embarcadero Center, 12th Floor San Francisco, CA 94111

 

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DESCRIPTION

 

Are you a fintech company that is hoping to be acquired? Are you preparing for a new round of investments? Are you a venture capitalist or investment firm looking for the right fintech company for an investment?

This event will provide best practices to fintech startup companies that are preparing for an acquisition or investment (and related diligence), and to provide insight for fintech investors about key factors to evaluate.

We hope you can make it to this event and feel free to spread the word.

This event is FREE for Business Members ( .99/month ).

 

 

 

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AGENDA

 
5:30 PM Registration
6:00 PM Presentation from K&L Gates attorneys
  Corporate governance, structural considerations, assembling the right team by Jeremy M. McLaughlin, Associate at K&L Gates
  Key regulatory and compliance issues to prepare for during due diligence by Andrew C. Glass, Partner at K&L Gates
  Trends in fintech litigation and regulatory enforcement actions by Gregory N. Blase, Partner at K&L Gates
6:30 PM Panel Discussion
  Judith E. Rinearson, Partner at K&L Gates
  Steve McLaughlin, Founder & CEO at Financial Technology Partners
  TBA 
  Panel moderated by Daniel Chatelain Managing Director at The BayPay Forum
7:30 PM Networking
8:00 PM End of Session

SPEAKERS

Jeremy M. McLaughlin

Associate at K&L Gates

Jeremy McLaughlin is an associate in the firm’s San Francisco office and a member of the Consumer Financial Services group. His practice focuses on regulatory compliance and enforcement for Fintech and consumer financial products and services, with particular attention on emerging payments, payment systems, and prepaid products.

Mr. McLaughlin represents a broad range of clients across the financial services industry, ranging from startups to some of the world’s largest financial institutions. They have included money services businesses, payment system providers, banks, retailers, marketplace lenders, Fintech companies (including blockchain technology companies), crypto/virtual currency providers, credit and prepaid card companies, and mortgage lenders and servicers.

Mr. McLaughlin counsels clients on compliance with state and federal consumer protection laws, money transmitter laws, international remittances, anti-money laundering laws, abandoned property laws, and network rules, as well as advising on privacy, data security, and credit and licensed lending laws. He assists clients with negotiating and drafting agreements involving payment technologies and licensing issues, drafting terms and conditions and disclosures for new products, and structuring business operations to maximize efficiency and comply with legal obligations. He also serves as regulatory counsel in connection with investments, including conducting due diligences of payments, credit, and mortgage companies.

Mr. McLaughlin also maintains an appeals and issues practice, handling appeals and dispositive motions before state and federal courts, including proceedings involving consumer financial laws. He has prepared over 10 briefs for the US Supreme Court, and dozens of briefs for a variety of federal and state appellate courts. He has argued before the Ninth Circuit Court of Appeals.

Mr. McLaughlin is a regular contributor to the FinTech Law Blog and the Consumer Financial Services Watch Blog.

Mclaughlin Jeremy

Andrew C. Glass

Partner at K&L Gates

Andrew Glass advises businesses in achieving integrated, multi-disciplinary solutions to managing risk. Mr. Glass and his project teams work closely with clients’ business lines, and their legal, compliance, and information technology departments, to navigate complex regulatory areas. Mr. Glass provides regulatory-compliance advice and policy and procedure review. He oversees audits and internal investigations and responds to government investigations. Mr. Glass defends complex litigation including class actions. He counsels companies in the financial services, energy, media and telecommunications, manufacturing, and consumer product industries. His multi-faceted approach to problem-solving delivers seamless solutions to clients’ legal challenges.

Glass Andrew

Gregory N. Blase

Partner at K&L Gates

Greg Blase advises clients on the development of integrated solutions for risk mitigation in industries that have consumer-facing business operations. He counsels companies to identify regulatory and litigation risk and to advise in-house legal departments and management on best practices for responding to that risk. Mr. Blase’s clients include leading companies in the financial services, energy, media and telecommunications, manufacturing, and consumer products industries. Mr. Blase provides regulatory-compliance advice and policy and procedure review. He oversees audits and internal investigations and responds to government investigations. Mr. Blase defends complex litigation including class actions. He takes a holistic approach to addressing legal risk, recognizing the importance of bringing stakeholders together to solve problems collectively.

Blase Greg

PANELISTS

Judith E. Rinearson

Partner at K&L Gates

Judith Rinearson is a partner in the firm’s New York and London offices. Ms. Rinearson concentrates her practice in prepaid and emerging payment systems, electronic payments, crypto/virtual currencies, reward programs, ACH and check processing. She has more than 25 years of experience in the financial services industry, including 18 years at American Express’s General Counsel’s Office. Her expertise focuses particularly in the areas of emerging payments and compliance with state and federal consumer protection laws, anti-money laundering laws, state money transmitter licensing laws and abandoned property laws.

Fully experienced in both the “issuing” and “acquiring” side of the payments business, Ms. Rinearson has drafted and negotiated complex agreements with strategic co-branded partners, processors and Independent Sales Organizations (ISOs), ATM networks, major retailers and service providers, prepaid card issuers and program managers, international remittance companies, virtual and mobile payment providers, as well as the Terms and Conditions and disclosures that usually accompany such products. She has hands-on experience in all legal aspects of launching and managing a range of payment products, from prepaid cards of all kinds, to Bitcoin exchanges and miners, wire transfer services, ACH, electronic banking, money orders and credit cards. Her practice includes advising on fraud avoidance and compliance with federal banking and anti-money laundering laws, as well as state money transmitter licensing laws, consumer protection laws and abandoned property laws. On the international level, Ms. Rinearson has supervised the launch of a range of payment and foreign currency products in Europe, Asia and Latin America; met with international regulators; and spoken on the issue of payment regulation.

Ms. Rinearson currently serves on the Advisory Board of the UK’s Emerging Payments Association (EPA), and previously served on the Board of the UK’s Prepaid International Forum (PIF) where she is still an active contributor. She has also served for 8 years as Regulatory Counsel for the Network Branded Prepaid Card Association (NBPCA) in the U.S., and as Chair of the NBPCA’s Government Relations Working Group, and in that role represented the NBPCA at the Bank Secrecy Act Advisory Group (BSAAG) in Washington DC.

She has long been a member of the American Bar Association’s Cyberspace Law Committee, where she has previously chaired the Payment Card Fraud Task Force.

Over the years, Ms. Rinearson has garnered many honors. In 2015, she was named one of the Top 10 Payment Lawyers, by Paybefore magazine and in the same year was voted as one of the most Influential Women in Payments at the same publication. In March 2008, she was honored with an Industry Achievement Award from the 2008 Prepaid Card Expo for her contributions as a pioneer in the prepaid card industry and her particular influence in the regulation of prepaid cards.

She has also given numerous presentations about payment regulations at meetings held by the Federal Reserve Banks of Philadelphia and Chicago, the Conference of State Bank Supervisors (CSBS), the Electronic Funds Transfer Association, Forum Europe, NACHA, and at annual meetings of the Money Transmitter Regulators Association, American Bar Association and the National Association of Unclaimed Property Administrators. In 2015 and 2016, among other things, Ms. Rinearson presented at the Prepaid International Forum in London regarding U.S. payment laws; moderated a panel at Money2020 regarding state money transmitter licensing issues; and trained bank examiners regarding prepaid cards and emerging payments including crypto-currencies such as Bitcoin, Etherium and Ripple. She also testified at the January 2014 Virtual Currency Hearings before the New York State Department of Financial Services regarding regulation of virtual and crypto currencies.

Rinearson Judith

Steve McLaughlin

Founder and CEO at FT Partners

Steve McLaughlin, Founder and CEO of FT Partners and former senior banker at Goldman Sachs, has covered FinTech and Financial Services for over 20 years. Steve was recently Ranked #1 on Institutional Investor’s “Most Influential Dealmakers in FinTech”, named “2017 Investment Banker of the Year” by The M&A Advisor and ranked the #1 FinTech Banker in Silicon Valley by The Information. FT Partners was founded in late 2001 and has won “Investment Banking Firm of the Year” four times since 2004, most recently in 2016. Steve has personally led and closed hundreds of FinTech M&A, financing and IPO advisory transactions. @ftpartners www.ftpartners.com

stevemclaughlin

MODERATOR

Daniel Chatelain

Managing Director at The BayPay Forum

Daniel Chatelain is a serial entrepreneur focused on innovation in payments, commerce and Fintech. He sits on the board of directors or advisors of emerging companies and is a mentor at 500 Startups. He started The BayPay Forum to help foster innovation in payment and commerce.

The BayPay Forum is a member based organization that gathers today over 14,000 executives from thousands of companies and that organizes events for its members to understand the new trends in innovation in payments and commerce in the San Francisco Bay Area, Los Angeles, Atlanta, Toronto, New York, Paris, London and Luxembourg. Prior to that, Daniel was CEO, President & COO of companies he started as an entrepreneur or within the Lagardere (Elle, Woman’s Day, Car & Driver, Hachette, Canal Satellite) and Airbus Industries group (Airbus, Ariane, Eurocopter) and Vice President of a VC backed companies giving him a wide experience of growing companies domestically and internationally in the banking, telecom and interactive media industries as an entrepreneur, corporate or VC backed senior executive.

danielchat

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