TELCOIN ASSOCIATION
COMPLIANCE COUNCIL
Application: Tim Mahota
Preferred Name and Country: Tim Mahota, United States
Wallet Address: 0x51b2695e7f21fcB56f34a3eC7d44B482C2eFE4d9
Social Media: X: @TimMahota
Discord: Tmahota (@ahhmac)
Specialization:
Conflict Resolution: Former SEC Enforcement Attorney
Compliance: Over 30 years compliance experience including as a Chief Compliance Officer for broker-dealers, investment advisors, introducing broker, swaps execution facility and multilateral transaction facility.
Legal & Organizational: Over 20 years as General Counsel for financial services and FinTech companies.
Authorizations: Member of the bar in California, Ohio and District of Columbia. Past licenses held include Financial Industry Regulatory Association (FINRA) Series 4 (Options Principal), 7 (General Securities Agent), 24 (General Principal), 53 (Municipal Securities Principal) and 66 (Uniform Combined State Law for BD and RIA Agents) licenses. National Futures Association (NFA) Series 3 (Futures and Commodities Associated Person) and 34 (Retail FX Introducing Broker) licenses.
Education and Experience:
Telcoin Holdings Pte. Ltd., Singapore
General Counsel and Chief Compliance Officer
Responsible for global legal and compliance functions for wallet and DeFi service provider.
Integral Development Corp., Palo Alto, California
General Counsel
Provide legal guidance for this international foreign exchange institutional trading technology company. Implementing creation of Dodd-Frank Swaps Execution Facility (SEF), Swaps Data Repository (SDR) and European organized trading facility (MTF) and Introducing Broker and Swaps Execution Facility.
Partnervest Financial Group LLC (formerly Integral Securities, Inc.), Santa Barbara, CA
Responsible for compliance of this FINRA registered broker-dealer and SEC registered investment advisor with over 50 representatives and offices primarily in the west United States. Instituted centralized compliance systems to ensure implementation of uniform and comprehensive compliance program based on annual risk assessments. Enabled creation of advisor’s exchange traded fund (ETF).
Mercer Global Advisors, Inc., Santa Barbara, California
General Counsel and Chief Compliance Officer
Guided national company on all legal issues including, among others, securities, employment, ERISA, mergers, contracts, insurance and leases. Managed outside litigation counsel and costs.
Refined, created and implemented comprehensive compliance program facilitating growth to billion dollar investment advisory program and enabling clean regulatory record during my tenure.
Instituted compliance program for start-up broker-dealer.
Securities and Exchange Commission, Los Angeles, California
Enforcement Attorney
Investigated and brought cases including insider trading, offering fraud as well as broker-dealer and investment advisor violations.
Pension Benefit Guaranty Corporation, Washington, D.C.
Staff Attorney
Represented this U.S. Government Agency in ERISA Title IV employer liability and Title I fiduciary breach/prohibited transaction litigation.
Kidder, Peabody & Company, Inc., Cleveland, Ohio
Stockbroker/Registered Representative
Introduction
How did you find out about Telcoin and why are you excited about being a part of the Telcoin community: I am a part of the Telcoin team at Telcoin Holdings Pte. Ltd. I am excited for the success of the overall platform. I have TEL tokens and want them to succeed as well.
What experience do you have in interacting with the Telcoin Platform as a user, miner, and/or overall ecosystem participant? I have TEL tokens myself and have familiarity due to my current position with Telcoin Holdings Pte. Ltd.
Why should you be selected? I think I am qualified and interested in the position.
Why are you running for this position? I am interested in the success of the Telcoin Association. I am currently GC/CCO of Telcoin Holdings Pte. Ltd., so I have a vested interest in seeing the Association succeed. Compliance is critical to that success.
What unique skills, experiences and credentials do you bring to the role that will assist you in fulfilling your regular and special duties? I am a securities/crypto legal and compliance professional professional with over 30 years of experience. See my CV information above for more details.
What changes and improvements do you plan to propose? I think transparency into the compliance process is critical. So I want to ensure we take steps towards that. Also institute policies and procedures using outsourced services to ensure KYC and AML. I want the association to be absolutely compliant.
How will you represent your miner group in decision-making processes to ensure their interests are being voiced and protected?
How will you keep your constituency informed? I will likely follow the method of communication that other council members use. Perhaps a discord channel.
How much time can you dedicate to the role each week? I am unsure. I will dedicate the time required to do the position adequately and if I can’t then I will seek a replacement. I don’t think the position will require a material part of my time at this point.