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(416) 342-9525

PRACTICE AREAS

The Keller firm offers a wide array of legal and consulting services, customized to fit the unique needs of Canada's small and medium-sized securities dealers.

 Securities Law 
  • Advice concerning interpretation and application of Canadian securities legislation, regulations, and guidance, as well as IIROC Rules and policy guidance

  • Training and consultation on latest regulatory changes

 

 Compliance and  Regulatory Support
  • Assistance with IIROC and other regulators' compliance examinations

  • Preparation of responses to compliance requests and deficiency determinations

  • Assistance with registration and approval matters

  • Submissions concerning new and modified business lines/models

  • Regulatory exemption requests

  • Annual AML and other compliance training

 

 Enforcement  Defence 
  • Assistance with investigation requests

  • Settlement negotiations

  • Defense representation in disciplinary enforcement actions

 

​​​​© 2020 by Robert Keller

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