Richard Choi has extensive 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 advising 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 variable annuities, variable life insurance, and face-amount certificates.
His experience also includes representation of investment advisers and investment companies in regulatory compliance inspections and examinations, 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 variable insurance products and mutual funds. He has appeared on Bloomberg TV and has been quoted in Bloomberg, the Chicago Tribune, the Los AngelesTimes, National Underwriter, U.S. Banker, the Wall Street Journal Online, and other financial and trade publications. Richard is the securities and investment companies industry group co-leader.
- University of Virginia School of Law (J.D., 1987)
- University of Chicago (B.A., with honors, 1984)
Professional & Community Involvement:
- Member, American Bar Association
- Member, Association of Life Insurance Counsel
- Vice Chairman, Smithsonian Institution Libraries Advisory Board (2011-present)
- Member, University of Chicago Visiting Committee on the College and Student Activities (2004-2010)
Rate : $$$