Blockchain Law and Supply Chain Management
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1 AMCHAM MORNING BRIEFING BLOCKCHAIN TECHNOLOGY Ho Chi Minh City 26 October 2018 American Chamber of Commerce in Vietnam Blockchain Law and Supply Chain Management Brief Regulatory Overview and Outlook Manfred Otto, Registered Foreign Lawyer Duane Morris Vietnam LLC 2017 Duane Morris LLP. All Rights Reserved. Duane Morris is a registered service mark of Duane Morris LLP. Duane Morris Firm Offices New 8York London Singapore Philadelphia Chicago Washington, D.C. San Francisco Silicon Valley San Diego Los Angeles Taiwan Boston Houston Austin Hanoi Ho Chi Minh City Shanghai Atlanta Baltimore Wilmington Miami Boca Raton Pittsburgh Newark Las Vegas Cherry Hill Lake Tahoe Myanmar Oman Duane Morris Affiliate Offices Mexico City Sri Lanka Duane Morris LLP A Delaware limited liability partnership
2 Blockchain Law Overview What? Blockchain technology vs. applications Who? Where? Decentralized, borderless, smart contracts How? Why? Outcome-based regulation and legal certainty 2
3 Blockchain Law Areas of law... Corporate & Securities Tax & Customs IP & IT Law Contract & Property Banking & Finance Privacy & Data Protection... more? 3
4 Blockchain Regulators Central government and ministries Financial conduct and monetary authorities Securities and exchange authorities Central banks Insurance authorities Tax and customs authorities Personal data commissioners 4
5 Blockchain Law and Supply Chain Management 1. Applicable law and jurisdiction Governing law and forum selection 2. Smart contracts enforceability Written, signed, notarized? Incorporation by reference? Modification? 3. Privacy, data protection, cybersecurity GDPR who is the data controller/ processor? Server localization 4. Transportation, logistics, distribution 5. Payment Highly regulated for foreign investors Cryptocurrencies illegal payment method 5
6 Cryptocurrency Regulatory Status Regulated virtual currency Unregulated virtual commodity Illegal payment method Other considerations Property or not? Tax Offshore investment Capital controls Anti-money laundering Image source: 6
7 ICO: Blockchain to Raise Funds 1. Banned or unauthorized 2. Permitted and regulated a. Regulators issued guidances b. Compliance with AML, banking, securities, and other laws may be required depending on each ICO s and token s characteristics c. No action letters 3. No guidance and generally not prohibited Token Sale Timeline 7
8 ICO: Token Categories ( FINMA) Category Characteristics Notes Payment token Utility token To be used, now or in the future, as a means of payment for acquiring goods or services or as a means of money or value transfer. Cryptocurrencies give rise to no claims on their issuer. Provides access digitally to an application or service by means of a blockchain-based infrastructure. = Cryptocurrencies U.S. law: Howey Test and over Asset token Represents assets such as a debt or equity claim on the issuer. Analogous to equities, bonds or derivatives. = Security token Hybrid token Token with mixed characteristics of the above tokens Example: payment token with security token features 8 Source: FINMA ICO Guideline, 16 Feb 2018
9 AML/KYC AML Principles Activities requiring anti-money laundering compliance: Banking Payment services Exchange services Securities trading/brokerage Casino/gaming Precious metals Real estate and other transactions 9
10 R&D: Innovation Space and Regulatory Sandbox 1. Less stringent legal requirements for Fintech/Regtech proof of concept 2. Specific boundaries and safeguards 3. Different approaches: a. Regulatory sandbox regulators approve and monitor sandbox participants b. Innovation space no specific approval required until the legal boundaries are breached Regulatory sandbox principles Boundary Customer protection measures Risk management controls Readiness and monitoring 10
11 Blockchain Legal Heat Map Topic Singapore Hong Kong Switzerland Japan Vietnam Cryptocurrency Exchange ICO R&D Regulatory Sandbox 11
12 Contact Duane Morris Vietnam LLC Ho Chi Minh City Office Suite 1503/04, Saigon Tower 29 Le Duan, District 1 Ho Chi Minh City Vietnam Hanoi Office Pacific Place, Unit V1307/ B Ly Thuong Kiet Street Hoan Kiem District, Hanoi Vietnam Manfred Otto Senior Associate Tel: MOtto@duanemorris.com Disclaimer: This presentation has been prepared and published for informational purposes only and is not offered, nor should be construed, as legal advice. Each case should be analyzed individually with the support of competent legal counsel. full disclaimer.
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