Richard Choi has more than 30 years' experience advising investment companies, investment advisers, broker-dealers, and life insurance companies on federal and state securities and insurance compliance and regulatory matters.
Richard's experience includes representation of investment company boards, independent directors and trustees, and special committees of directors and trustees. He counsels clients on the development and distribution of sophisticated financial products, such as fixed index and variable annuities and life insurance and face-amount certificates. His experience also includes representation of investment advisers and investment companies in regulatory compliance examinations and enforcement matters, opinions on the availability of 1940 Act exemptions in connection with various types of transactions, and in-house training and education seminars on a variety of regulatory and compliance matters.
He has published numerous articles and regularly speaks on federal securities issues relating to insurance products and mutual funds. He has appeared on Bloomberg TV and has been quoted in Bloomberg, the Chicago Tribune, the Los Angeles Times, National Underwriter, U.S. Banker,The Wall Street Journal Online, and other financial and trade publications. He is the co-chair of the ALI-CLE Conference on Life Insurance Company Products, now in its 37th year.
Richard is the office managing shareholder of the Washington, D.C., office.
Articles in the National Law Review database by Richard T. Choi