Founded in July 2015, the mission of the Keller law firm is to provide small and medium-sized Canadian securities dealers with the same high-quality, customized legal and regulatory support that they would expect from a large Bay Street law firm, at a highly competitive price.
The firm specializes in assisting Canadian securities dealers and their registered employees with regulatory and compliance matters, from the simple to the complex, through an exceptionally broad and deep understanding of the Canadian securities regulation framework, including IIROC Rules and provincial securities laws and regulations. The firm also has familiarity with FINRA Rules and U.S. federal securities laws and regulations.
The firm offers outstanding legal research, analysis, and work product to enable its clients to overcome the regulatory and compliance challenges that inevitably arise as business activities grow or evolve, and as securities regulations change over time. The firm prides itself on its attention to detail, its breadth of experience, and its determination to produce thorough, reliable results in a time-sensitive manner.
Unlike its competitors in the compliance consulting field, the firm offers securities regulatory and compliance support that incorporates extensive legal knowledge and the ability to provide sound legal advice, all for one affordable price. And compared to its Bay Street law firm competitors, it keeps costs low for clients, with minimal overhead, lean staffing, and highly competitive billable rates.
With over 16 years of legal experience, in both private practice (including stints at two international law firms in New York City) and as an in-house counsel for two securities regulators (one in the U.S.--NYSE Regulation, a predecessor of FINRA; and one in Canada--IIROC), Robert has experience that spans the enforcement, policy, coporate governance, and litigation fields. Before founding his firm, Robert held the position of Policy Counsel in the Toronto office of IIROC for approximately 4 years. He was extensively involved in the development and drafting of IIROC's consolidated enforcement rules, among many other significant rule amendment and policy projects. Before that, Robert worked within IIROC's Enforcement department, prosecuting complex, high-profile disciplinary matters.
Robert is fluently bilingual, and graduated from the McGill University Faculty of Law with Great Distinction. He is licensed by both the Law Society of Upper Canada and the New York Bar.