FacultyFaculty/Author Profile
Chih-Pin Lu

Chih-Pin Lu

Raymond James Financial,Inc
Chief Counsel, Asset Management Group
St Petersburg, FL, USA


Chih-Pin Lu is Chief Counsel for the Asset Management Group of Raymond James Financial, Inc., headquartered in St. Petersburg, Florida. Since joining the firm in 2007, he has dealt with corporate, regulatory, and compliance matters related to the firm’s institutional asset management, retail investment adviser, investment company, and hedge fund businesses and affiliates.  Mr. Lu is an active member of various industry workgroups and committees, and regularly speaks at industry conferences.  Prior to joining Raymond James, Mr. Lu was a securities transactions and litigation attorney in private practice, and Senior Counsel (Enforcement) with the U.S. Securities and Exchange Commission’s Southeast Regional Office. During his tenure with the SEC, he received an appointment as a Special Assistant United States Attorney. Formerly, he represented clients in complex financial fraud cases as an Assistant Federal Public Defender.  Mr. Lu graduated from Tufts University and received his law degree from Boston College Law School.
Chih-Pin Lu is associated with the following items:
Web Segment  Web Segment Fund Litigation - Basics of Mutual Funds and Other Registered Investment Companies 2018, Tuesday, May 15, 2018
Emerging Trends and Hot Topics in Investment Adviser Regulation - Fundamentals of Investment Adviser Regulation 2018, Wednesday, June 27, 2018
MP3 Audio  MP3 Audio Fund Litigation - Fund Litigation, Tuesday, May 15, 2018
Emerging Trends and Hot Topics in Investment Adviser Regulation - Emerging Trends and Hot Topics in Investment Adviser Regulation, Wednesday, June 27, 2018
Transcripts  Transcripts Fund Litigation - Fund Litigation, Tuesday, May 15, 2018
Emerging Trends and Hot Topics in Investment Adviser Regulation - Emerging Trends and Hot Topics in Investment Adviser Regulation, Wednesday, June 27, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Fund Litigation - Fund Litigation, Tuesday, May 15, 2018
Emerging Trends and Hot Topics in Investment Adviser Regulation - Emerging Trends and Hot Topics in Investment Adviser Regulation, Wednesday, June 27, 2018
On-Demand Web Programs  On-Demand Web Programs Basics of Mutual Funds and Other Registered Investment Companies 2018, Monday, May 21, 2018, New York, NY
Fundamentals of Investment Adviser Regulation 2018, Monday, July 02, 2018, New York, NY
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.