Richard Kerr

K&L Gates LLP

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Massachusetts Finalizes State Fiduciary Standard amid Regulation Best Interest

I. SUMMARY - On February 21, 2020, the Massachusetts Securities Division (the “Division”) officially adopted regulations (the “MA Fiduciary Rule”) that would raise the standard of conduct applicable to broker-dealers and...more

3/6/2020 / Duty of Care , Duty of Loyalty , Fiduciary Duty , Fiduciary Rule , NSMIA , Regulation Best Interest , Securities and Exchange Commission (SEC)

SEC Publishes a Roadmap to Navigating the Investment Adviser Fiduciary Duty

On June 5, 2019, the U.S. Securities and Exchange Commission (the “SEC”) adopted a final interpretation (the “Interpretation”) of the standard of conduct applicable to investment advisers (“IA”) under the Investment Advisers...more

6/26/2019 / Best Interest Standard , Broker-Dealer , Duty of Care , Duty of Loyalty , Fiduciary Duty , Investment Adviser , Investment Advisers Act of 1940 , Securities and Exchange Commission (SEC)

Fiduciary Standard Reform - The SEC Enters the Ring

An investment professional who provides advice to an investor who has a 401(k), an annuity, and a brokerage account is subject to regulation by no less than five regulators: the Securities and Exchange Commission...more

4/26/2018 / Department of Labor (DOL) , Duty of Loyalty , Fiduciary Duty , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Retail Investors , Securities and Exchange Commission (SEC)

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