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Keith Loveland

Welcome

Loveland Consulting

Let's begin with Why. I believe Americans need good financial advice if they are to gain a measure of financial security. I further believe I can best serve Americans - indirectly - through serving the financial services professionals who directly serve them.

My passion to serve has been demonstrated throughout the decades as an attorney, author, consultant, teacher, and expert witness. During my years within the financial world, I've observed how critical it is to know the subject matter and be a trustworthy resource.

The financial services sector is not simple. Never has been. Never will be. It is a VUCA world: Volatile, Uncertain, Complex, and Ambiguous. Successful client outcomes are rarely guaranteed and never predicted perfectly by gazing at a crystal ball.

Investment themes may come and go. Markets gyrate. Investment Managers are Hot, or Not. The world of investing may be defined as a complex web of legal, regulatory, fiduciary, and ethical demands.

News

Visit our website often for the latest news focusing on cybersecurity, privacy law, insurance law, securities law, portfolio construction, fiduciary practices and more.

Cyber and Emerging Technologies Unit
Cybersecurity

Cyber and Emerging Technologies Unit

On February 20, 2025, the U.S. Securities and Exchange Commission ("SEC") announced the creation of the Cyber and Emerging Technologies Unit ("CETU") to focus on "combatting cyber-related misconduct and to protect retail investors from bad actors in the emerging technologies space."

  • Feb 28, 2025
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Investment Adviser Compliance with Amended AML Rule
Anti-Money Laundering Rule

Investment Adviser Compliance with Amended AML Rule is Required by January 1, 2026

An amended Anti-Money Laundering Rule ("AML Rule") will subject many investment advisers ("Covered IAs") to AML requirements, including the adoption of AML procedures, the filing of Suspicious Activity Reports ("SARs"), and other requirements.

  • Feb 25, 2025
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Modifications to Cybersecurity Programs
Cybersecurity Programs

Amendments to Regulation S-P will likely require modifications to cybersecurity programs

The SEC adopted amendments to enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P’s requirements for covered institutions (broker-dealers, investment advisers ...)

  • Feb 23, 2025
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Specialty

Keith Loveland Consulting

For most of my professional life, I have specialized in helping investment professionals and their firms do things the right way. Specifically, Keith Loveland Consulting:

  • Conducts independent FINRA Rule 3120 “test-and-verify” audits for broker-dealers.
  • Conducts independent Anti-Money Laundering audits for broker-dealers and investment advisers.
  • Consults on current and proposed legal and compliance obligations, including providing specific guidance as to establishment of appropriate supervisory controls.
  • Prepares and presents training on Prudent Practices for Fiduciaries.
  • Provides enforcement defense in regulatory and industry venues.
  • Serves as a consulting expert in arbitration and litigation forums, federal and state.
  • Serves as a qualified neutral under Rule 114 of the General Rules of Practice.

Providing Support

"I have assisted both claimants and respondents in providing behind-the-scenes support as well as on-the-stand expert testimony."

  • CONTACT

    500 Wells Fargo Plaza
    7900 Xerxes Avenue South
    Minneapolis, MN 55431

  • Office Hours

    Mon - Fri 9:00 - 05:00
    Saturday 10:00 - 03:00

  • Phone

    Phone: 952-746-1106
    Cell: 612-961-6019

  • Email

    kloveland@cap-mgt.com
Loveland Consulting