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Asian-American/Pacific Islanders Knowledge Circle: Legal and Compliance Hot Topics for Investment Advisers

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Includes a Live Event on 08/25/2022 at 1:00 PM (MDT)

In this session, we will provide an update on various issues that the SEC and other regulators are focusing on when it comes to investment advisory/financial planning firms. This session is a great way to make sure that you are buttoned up in the areas where regulators are focusing much of their attention when conducting examinations.

Richard Chen

Founder

Richard L. Chen PLLC

Richard Chen is the Founder of Richard L. Chen PLLC, a law firm that serves the investment advisory community (including financial planners, investment managers, private fund sponsors, and service providers). Richard counsels investment advisers concerning business formation/structuring; contract drafting and negotiation; mergers and other transactions; succession planning; employment matters; private fund formation; and operational due diligence. Richard also advises on numerous regulatory matters including investment adviser registration; compliance program development, implementation, and management; mock audits; and SEC examinations and investigations. Before launching his practice, Richard spent many years at several preeminent law firms in New York after graduating from Harvard Law School and Harvard College including Simpson Thacher &Bartlett, K&L Gates, Schulte Roth & Zabel, and Arnold & Porter. Please visit his firm’s website and visit his LinkedIn page to learn more about him and his practice.

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Asian-American/Pacific Islanders Knowledge Circle: Legal and Compliance Hot Topics for Investment Advisers
08/25/2022 at 1:00 PM (MDT)   |  60 minutes
08/25/2022 at 1:00 PM (MDT)   |  60 minutes In this session, we will provide an update on various issues that the SEC and other regulators are focusing on when it comes to investment advisory/financial planning firms. This session is a great way to make sure that you are buttoned up in the areas where regulators are focusing much of their attention when conducting examinations.
Course Evaluation
7 Questions
Certificate of Completion
Live Viewing: 0.0 CFP CE credits and certificate available
Live Viewing: 0.0 CFP CE credits and certificate available