Joot Blog

Stay up to date with perspectives, news, and updates pertaining to investment management technology, legal, compliance, and more.

Richard Chen

Richard L. Chen PLLC is 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, our firm 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. For more information, please visit our website at or email us at
Find me on:

Recent Posts

5 Common Mistakes Advisers Make When Using Compliance Technology

Jun 22, 2021 12:51:16 PM / by Richard Chen posted in Investment Advisers, Compliance Technology, Guest Author

Learn about major pitfalls investment advisers should avoid when using compliance technology and practical implementation strategies.

Read More