Registered investment advisors and broker/dealers both face a myriad of securities regulations today. To understand them all is nearly impossible. To incorporate them all into daily business life is a challenge. To stay in compliance with them all is downright daunting. But not as daunting as the potential liability of not doing so. This is why someone like Keith Loveland is so invaluable.

Prevention is the best medicine.

For more than 20 years, Keith Loveland has worked in the complex, ever-changing milieu of securities regulations. In that time, he has built an impressive track record for helping clients set up systems and procedures that prevent trouble before it happens.

Creating the architecture.
Tightening the bolts.

Keith Loveland can help your firm:

Register as an Investment Advisor or Broker/Dealer
Research all relevant compliance regulations
Establish policies, procedures and compliance guides
Develop representative-friendly supervisory systems
Conduct a mock audit that helps you prepare for actual audits by the SEC or FINRA
Provide continuing education for sales staff and management on diverse topics
In short, Mr. Loveland can help you be successful. Your firm will be better prepared for audits, avoid miscommunications that create unhappy clients and be better protected against the cost and stigma of lawsuits.

Reputations upheld.

Being the subject of a regulatory investigation or enforcement action requires experienced counsel. Keith Loveland has assisted in the defense of individuals and firms in SEC, FINRA and state actions.
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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