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Compliance and Regulatory Support
Leveraging more than 15 years of experience in the securities regulation and litigation fields in Canada and the United States, both in-house and in private practice, Robert Keller - Legal Counsel is a boutique law firm, offering customized legal services, including regulatory and compliance support, at a fraction of the cost of most Bay Street and Wall Street law firms, and even many compliance consulting firms.
We believe that all securities dealers and marketplaces—regardless of size—deserve the same high-end external legal and compliance support as large firms. That's what Robert Keller - Legal Counsel offers: exceptional legal and consulting services, in the securities regulation space, at an affordable cost.
IIROC Board grants TD Waterhouse CRM2 exemption
Robert Keller quoted in Investment Executive on Transaction Fee Pilot
CSA seeks comment on proposed merger of IIROC and MFDA
US Court of Appeals strikes down SEC's "Transaction Fee Pilot"