Kerry Zinn is a principal at Bressler, Amery & Ross in Fort Lauderdale, Florida. Her practice focuses on regulatory enforcement matters and compliance counseling relating to anti-money laundering, anti-bribery and corruption and sanctions. Prior to joining Bressler, she was the lead attorney advising global bank UBS’ financial crime prevention program in the Americas. Before that, she was regulatory counsel for UBS’ retail broker-dealer. She has also served as one of the lead trial attorneys in the Miami office of the Securities and Exchange Commission. She can be reached at [email protected]
Tanya Lambrechts is an Associate in the Securities practice group at the law firm of Bressler, Amery & Ross. Her practice focuses on defending financial institutions, SEC-registered and state-registered investment advisors and associated persons and FINRA-registered broker-dealers and financial advisors in a broad range of securities litigations and regulatory enforcement actions. Further, Tanya provides financial regulation and compliance counseling and advice to financial institutions and investment advisors.
Tanya earned a degree in finance from Florida State University, graduated from FSU’s College of Law with honors and achieved the Business Law Certificate with honors.
Investment advisers who have been around awhile know that the SEC, both independently and through case law, has defined and redefined what it means for an adviser to be a “fiduciary.” Kerry Zinn and Tanya Lambrechts discuss the SEC’s latest clarification on the term. In an April 18, 2018 release, the SEC again provided a lengthy definition of an adviser’s fiduciary duty,...
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