Richard F Kerr


State Street Financial Center, One Lincoln Street
Boston, MA 02111-2950

United States of America

Richard Kerr is a partner in the firm’s Boston office, where he is a member of the Investment Management, Hedge Funds and Alternative Investment practice group. Mr. Kerr focuses his practice on counseling registered investment companies, investment advisers, broker-dealers and other financial institutions in connection with regulatory aspects of their operations, particularly relating to SEC and FINRA regulation.

Mr. Kerr’s experience with financial institutions includes providing advice and counsel on a broad array of corporate, regulatory, transactional and operational matters, including: formation and registration of investment companies, investment advisers and broker-dealers; reorganization transactions; mergers and acquisitions; negotiation of agreements with mutual fund service providers; public and private offerings of securities; de novo bank chartering; holding company formations; and new product offerings. Mr. Kerr 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.

Mr. Kerr has extensive experience advising financial institutions with respect to: development of their internal compliance and risk management policies and procedures, including the development of procedures required by SEC regulation and FINRA rules. Mr. Kerr also has provided advice to financial institutions on marketing and advertising related matters.

Mr. Kerr also advises financial institutions on anti-money laundering and OFAC matters, including the development of tailored anti-money laundering and sanctions monitoring compliance solutions (including policies, procedures, and other items) for investment advisers, broker-dealers, and other financial institution clients.

Mr. Kerr also has significant boardroom experience, including representation of the independent directors of registered investment companies and the Boards of Directors of banking clients.
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