Compliance Hot Topics and Insights with Richard Chen

When:  Feb 15, 2024 from 15:00 to 16:00 (MT)

The February Asian-American/Pacific Islanders Knowledge Circle will be held on Thursday, February 15th at 3 pm ET.

Guest speaker Richard Chen will be presenting, "Compliance Hot Topics and Insights with Richard Chen."

In this Knowledge Circle gues speaker Richard Chen will share compliance hot topics and trends he is seeing with SEC examinations, and discuss any challenges faced while preparing the FormADV.

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.