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.
