Author Richard L. Chen
Richard L. Chen PLLC, Founder
Richard L. Chen is founder of Richard L. Chen PLLC, a law firm that serves investment advisory firms by providing proactive business-minded solutions pertaining to corporate and securities law-related matters. Among other things, Richard L. Chen PLLC provides counsel with respect to securities and compliance matters (including representation in SEC examinations), private fund formation, corporate formation and structuring, business transactions (including M&A and joint ventures), contract drafting and negotiation, employment law matters, operational due diligence, and succession planning.
5 Common Mistakes Advisers Make When Using Compliance Technology
Learn about major pitfalls investment advisers should avoid when using compliance technology and practical implementation strategies.