Richard Kerr

Speaking Engagements

• "State of Digital Assets and Tokenization," Fund Directors Conference, Independent Director's Council (October 28, 2025)
• K&L Gates' ETF Think Tank (2017 – 2025), Planning Committee, panelist and moderator.

• K&L Gates' Boston Investment Management Conference (2015 – 2025), Panelist.

• “The ETF Changing Legal & Compliance Landscape,” Fall 2019 ETP Forum (November 21, 2019), Panelist.

• “Financial Professional Standards of Conduct,” Quarterly NEBDIAA Meeting (October 28, 2019), Panelist.

• “Drafting Reg BI Policies and Procedures for Broker-Dealers,” NRS Fall Compliance Conference (October 16, 2019), Panelist.

•  “Unpacking and Implementing Reg BI and Form CRS,” NRS Fall Compliance Conference (October 17, 2019), Panelist.

•  “SEC Rules and Interpretations Related to Fiduciary Duty and Standards of Conduct” K&L Gates Webinar (September 26, 2019), Panelist.

• “Introduction to the Advisers Act,” NRS Boston Compliance Composium (August 6, 2019), Panelist.

• “Marketing and Social Media for Broker-Dealers,” NRS Spring Compliance Seminar (April 30, 2019), Panelist.

• “Cryptocurrencies and Blockchain from a Compliance Perspective,” NRS Spring Compliance Seminar (April 29, 2019), Panelist.

• “K&L Gates/ACA Mutual Fund Distribution Roundtable” (April 9, 2019), Panelist.

• “SEC Examination and Enforcement Update for Investment Advisers,” NRS Boston Investment Adviser Compliance Symposium (August 16, 2018), Panelist.

• “K&L Gates/ACA Mutual Fund Distribution Roundtable” (May 17, 2018), Panelist.

• “AML Best Practices for Investment Advisers and Broker-Dealers,” NRS Webinar (May 8, 2018), Panelist.

• “Best Practices for Your Firm's Vendor Management,” NRS Spring Compliance Seminar (April 26, 2018), Panelist.

• “Cryptocurrencies: How will cryptocurrencies impact your firm? Are you ready?,” NRS Spring Compliance Seminar (April 26, 2018), Panelist.

• “Investment Adviser Performance and Advertising,” NRS Webinar (January 30, 2018), Panelist.

• “How Advisers Can Avoid Common Deficiencies Under the Advertising Rule,” Hedge Fund Law Report Webinar, (November 13, 2017), Panelist.

• “Advertising and Social Media,” NRS Fall Compliance Conference 2017 (October 24, 2017), Panelist.

• “What's Hot on the IA Rulemaking Front,” IA Watch Commitment to Compliance Conference (September 18, 2017), Panelist.

• “Third-Party Vendor Management for Compliance Professionals,” Investment Adviser Association Webinar (July 13, 2017), Panelist.

• “Evolving Governance Roles,” Fund Directors Boston Summit 2017 (June 8, 2017), Panelist.

• “K&L Gates/ACA Mutual Fund Distribution Roundtable” (May 9, 2017), Panelist.

• “Managing Today's Advertising and Social Media Regulatory Environment,” NRS Spring Compliance Conference (May 3, 2017), Panelist.

• “Advertising and Marketing: Insights to Avoid Red Flags,” 16th Annual IA Compliance Fall Conference 2016 (September 26, 2016), Panelist.

• “Mastering Compliant Performance Advertising & Marketing,” IA Watch Marketing and Advertising Forum for Investment Advisers (August 22, 2016), Panelist.

• “Leveraging a Robust Social Media Program that Passes Regulatory Muster,” IA Watch Marketing and Advertising Forum for Investment Advisers (August 22, 2016), Panelist.

• “Third-Party Vendor Management for Compliance Professionals,” Investment Adviser Association Webinar (August 11, 2016), Panelist.

• “AML Best Practices for Investment Advisers and Broker-Dealers,” Webinar (June 20, 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, (February 11, 2016), Panelist.

• “Advertising & Marketing: Best Practices to Tackle this Perennial Challenge and Avoid Compliance Missteps,” IA Watch, Webinar (January 26, 2016), Panelist.

• The DCIO Best Practices Summit, THE SEC MONEY MARKET REFORMS – TO WHAT EXTENT WILL THEY IMPACT THE DC MARKET?, January 29, 2016.

• IA Watch Webinar, Advertising & Marketing: Best Practices to Tackle this Perennial Challenge And Avoid Compliance Missteps, January, 26, 2016.

• 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.

Publications

• "Tokenizing Traditional Markets," Co-author, The Review of Securities & Commodities Regulation, Vol 58 No. 11, June 11, 2025
• K&L Gates ETF Handbook, Fourth Edition, August 28, 2025
• “SEC v. Wahi: An Enforcement Action Impacting the Broader Crypto/Digital Assets and Investment Management Industries,” The Investment Lawyer, November 2022

• “SEC Solicits Comments on Whether Index Providers, Model Portfolio Providers, and Pricing Services Are Investment Advisors: Seeking a Problem for a 'Solution,'” The Investment Lawyer; October 2022

• “Compliance Challenges in the Age of Crypto,” Investment Adviser Association Newsletter, October 2022

• “Managing Influence: Social Media for Investment Advisers under the SEC's New Marketing Rule,” The Investment Lawyer, March 2022

• “The Effect of the GIPS 2020 Exposure Draft Proposals on Managers of Exchange Traded Funds,” Big Tipsfor ETF Issuers, Arro Financial Communications, February 2020

• “FINRA Relaxes Restrictions on Pre-Inception Performance Data,” Journal of Investment Compliance, August 2019

• “Updating Interpretive Guidance for a Rapidly Evolving Mutual Fund Marketplace,” Traders Magazine, 22 May 2019

• “The Impact of the GIPS 2020 Exposure Draft Proposals on Managers of Exchange-Traded Funds,” Arro Communications “Big Tips for New Issuers 2019”

• “How to Minimize Errors in Investment Management Marketing Material,” Investment Adviser Association Newsletter, (January 2016)

• “Director of SEC's Division of Investment Management Discusses Alternative Mutual Funds” Journal of Investment Compliance, Vol.15, Issue 4 (2014)

• “FINRA Fines Broker-Dealer for Failing to Apply Class A Sales Charge Waivers to Certain Eligible Customers on Mutual Fund Platform” Journal of Investment Compliance, Vol. 15, Issue 4 (2014)

• “Federal Bank Regulatory Agencies Issue Long Awaited Anti-Money Laundering Examination Manual” Banking Law Journal, Vol. 122, No. 9 (October 2005)