Richard Kerr


Partner

K&L Gates LLP


Richard Kerr is a partner in the firms Boston office, where he is a member of the asset management and investment funds practice group. Richard focuses his practice on counseling registered investment companies (including mutual funds and exchange traded funds), investment advisers, broker-dealers, and other financial institutions in connection with corporate and regulatory matters affecting their operations, particularly relating to SEC and FINRA regulation. Richard’s practice includes providing counsel to financial institutions on a broad array of corporate, regulatory, transactional, and operational matters, including: formation, registration, and ongoing operations of registered investment companies (including mutual funds and exchange traded funds), investment advisers and broker-dealers; reorganization transactions; mergers and acquisitions; negotiation of service provider agreements; public and private offerings of securities; holding company formations; and new product offerings. Richard has extensive experience representing financial institutions before federal and state securities and banking regulators, and self-regulatory organizations (including FINRA and NSCC) in connection with such matters. Richard has extensive experience advising financial institutions with respect to the development of their internal compliance and risk management policies and procedures, including the development of procedures required by SEC regulation and FINRA rules. Richard frequently advises mutual funds and exchange traded funds with respect to their marketing and distribution activities, and also provides advice to financial institutions with respect to marketing and advertising related matters. Additionally, Richard frequently works with financial institutions on anti-money laundering and OFAC sanctions program matters, including the development of tailored anti-money laundering and sanctions monitoring compliance solutions (including policies, procedures, and other items) for mutual funds, exchange traded funds, investment advisers, broker-dealers, and other financial institution clients. Richard also has significant boardroom experience, including providing counsel to the independent directors of mutual funds and exchange traded funds clients, and the Boards of Directors of banking clients.


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