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Richard F. Kerr
Richard F. Kerr

Richard F. Kerr

Partner
Boston
+1.617.261.3166
Email Richard F. Kerr @ Richard.F.Kerr@klgates.com
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Richard Kerr is a partner at the firm where he is a member of the Asset Management and Investment Funds practice group. Richard is a co-lead for both the firm’s Financial Services industry group and Digital Assets, Blockchain Technology and Cryptocurrencies industry 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), bank collective investment trusts, 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. Additionally, Richard frequently advises ETFs, investment advisers, broker-dealers, and other financial institutions regarding the US federal securities law implications of their cryptocurrency, digital assets, and blockchain related activities. 

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 works with 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 investment advisers, broker-dealers, mutual funds and exchange traded funds with respect to their marketing and distribution activities.  

Richard also frequently counsels 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.

Prior to joining the firm, Richard was counsel in the Boston office of an international law firm for over 10 years, and prior to that was a senior compliance and risk management professional for a major Boston-based financial institution.

  • “Next Generation Lawyer,” The Legal 500, 2017
  • Boston Bar Association
  • American Bar Association
  • Financial Markets Association

Mr. Kerr speaks regularly at industry events focused on investment adviser, broker-dealer and fund regulatory and compliance issues, including as a panelist at the following:

  • K&L Gates’ ETF Think Tank (2017–2023), Planning Committee, panelist and moderator.
  • Spring Regulatory Update, 1 June 2021, Panelist.
  • K&L Gates’ Boston Investment Management Conference (2015–2023), Panelist.
  • “The ETF Changing Legal & Compliance Landscape,” Fall 2019 ETP Forum (21 November 2019), Panelist.
  • “Financial Professional Standards of Conduct,” Quarterly NEBDIAA Meeting (28 October 2019), Panelist.
  • “Drafting Reg BI Policies and Procedures for Broker-Dealers,” NRS Fall Compliance Conference (16 October 2019), Panelist. 
  • “Unpacking and Implementing Reg BI and Form CRS,” NRS Fall Compliance Conference (17 October 2019), Panelist.
  • “SEC Rules and Interpretations Related to Fiduciary Duty and Standards of Conduct” K&L Gates Webinar (26 September 2019), Panelist.
  • “Introduction to the Advisers Act,” NRS Boston Compliance Composium (6 August 2019), Panelist.
  • “Marketing and Social Media for Broker-Dealers,” NRS Spring Compliance Seminar (30 April 2019), Panelist.
  • “Cryptocurrencies and Blockchain from a Compliance Perspective,” NRS Spring Compliance Seminar (29 April 2019), Panelist.
  • “K&L Gates/ACA Mutual Fund Distribution Roundtable” (9 April 2019), Panelist.
  • “SEC Examination and Enforcement Update for Investment Advisers,” NRS Boston Investment Adviser Compliance Symposium (16 August 2018), Panelist.
  • “K&L Gates/ACA Mutual Fund Distribution Roundtable” (17 May 2018), Panelist.
  • “AML Best Practices for Investment Advisers and Broker-Dealers,” NRS Webinar (8 May 2018), Panelist.
  • “Best Practices for Your Firm's Vendor Management,” NRS Spring Compliance Seminar (26 April 2018), Panelist.
  • “Cryptocurrencies: How will cryptocurrencies impact your firm? Are you ready?,” NRS Spring Compliance Seminar (26 April 2018), Panelist.
  • “Investment Adviser Performance and Advertising,” NRS Webinar (30 January 2018), Panelist.
  • “How Advisers Can Avoid Common Deficiencies Under the Advertising Rule,” Hedge Fund Law Report Webinar, (13 November 2017), Panelist. • “Advertising and Social Media,” NRS Fall Compliance Conference 2017 (24 October 2017), Panelist.
  • “What’s Hot on the IA Rulemaking Front,” IA Watch Commitment to Compliance Conference (18 September 2017), Panelist.
  • “Third-Party Vendor Management for Compliance Professionals,” Investment Adviser Association Webinar (13 July 2017), Panelist.
  • “Evolving Governance Roles,” Fund Directors Boston Summit 2017 (8 June 2017), Panelist.
  • “K&L Gates/ACA Mutual Fund Distribution Roundtable” (9 May 2017), Panelist.
  • “Managing Today’s Advertising and Social Media Regulatory Environment,” NRS Spring Compliance Conference (3 May 2017), Panelist.
  • “Advertising and Marketing: Insights to Avoid Red Flags,” 16th Annual IA Compliance Fall Conference 2016 (26 September 2016), Panelist.
  • “Mastering Compliant Performance Advertising & Marketing,” IA Watch Marketing and Advertising Forum for Investment Advisers (22 August 2016), Panelist.
  • “Leveraging a Robust Social Media Program that Passes Regulatory Muster,” IA Watch Marketing and Advertising Forum for Investment Advisers (22 August 2016), Panelist.
  • “Third-Party Vendor Management for Compliance Professionals,” Investment Adviser Association Webinar (11 August 2016), Panelist.
  • “AML Best Practices for Investment Advisers and Broker-Dealers,” Webinar (30 June 2016), Panelist.
  • “Understanding Fiduciary Duties and A Sweep of Anti-Fraud Provisions of the Advisers Act,” NRS Boston Investment Adviser Compliance Symposium (June 2016), Panelist.
  • “Blindspots in Operational Risk,” National Society of Compliance Professionals, Web seminar, (11 February 2016), Panelist.
  • “Advertising & Marketing: Best Practices to Tackle this Perennial Challenge and Avoid Compliance Missteps,” IA Watch, Webinar (26 January 2016), Panelist.
  • The DCIO Best Practices Summit, THE SEC MONEY MARKET REFORMS – TO WHAT EXTENT WILL THEY IMPACT THE DC MARKET?, 29 January 2016.  
  • IA Watch Webinar, Advertising & Marketing: Best Practices to Tackle this Perennial Challenge And Avoid Compliance Missteps, 26 January 2016.
  • K&L Gates 2015 Investment Management Conference, “Broker-Dealer Regulatory Update,” Boston, MA, 8 October 2015.  
  • K&L Gates 2015 Investment Management Conference, “Proposed SEC Liquidity Management Rules,” Boston, MA, 8 October 2015.  
  • How to Facilitate Communications with the Public, National Society of Compliance Professionals, 2015 South Regional Conference, Panelist.
  • KYC and Suitability, Financial Markets Association, 2013 Securities Compliance Seminar, Moderator.
  • Risk 2013 & Beyond – What You Must Know, Financial Markets Association, 2013 Securities Compliance Seminar, Moderator.
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