Founded in July 2015, the mission of the Robert Keller - Legal Counsel firm is to provide small and medium-sized Canadian and U.S. securities dealers and marketplaces with the same high-quality, customized legal and regulatory support that they would expect from a large Bay Street or Wall Street law firm, at a highly competitive price point.
The firm specializes in assisting Canadian and U.S. securities dealers and marketplaces, and their registered employees, with regulatory and compliance matters, from the simple to the complex. The firm offers a broad and deep understanding of the unique features of the Canadian and U.S. securities regulation frameworks, including legislation and regulations, self-regulatory (IIROC and FINRA) rules, and anti-money-laundering legislation and regulations applicable to securities dealers in both countries, as well as the guidance issued in each of those areas.
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 and evolve, and as securities regulations change and expand over time. The firm prides itself on its attention to detail, its breadth of experience, its up-to-the-minute familiarity with regulatory amendments, policy developments, and changes to industry best practices, and its determination to achieve thorough and 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 on all regulatory and compliance matters, as well as prevent (and, in worst-case scenarios, prepare for) enforcement actions and/or litigation, all at an affordable price. The firm is also highly cost-effective compared to its Bay Street and Wall Street law firm competitors, with minimal overhead, lean staffing, and competitive billable rates.
With more than 18 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, corporate governance, and litigation fields. Before founding his firm, Robert held the position of Policy Counsel in the Toronto office of IIROC for close to 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 (English/French), with Spanish-language proficiency. He attended McGill University's Faculty of Law on scholarship, graduating with "Great Distinction", after obtaining a B.A. ("Joint Honours") in Political Science and Economics (also at McGill University). He is licensed by both the Law Society of Ontario and the New York Bar.