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Controls & Compliance

Keystone implements various internal and external controls to protect and safeguard assets.

Keystone maintains an active registration as a Registered Investment Adviser (RIA) with the United States Securities & Exchange Commission under the Investment Advisers Act of 1940, which requires ongoing monitoring, compliance, and review of various securities and investment regulations.

In addition, Keystone has often retained an independent regulatory compliance consultant to assist in the filing of all required disclosures and our compliance with all applicable laws, rules, and regulations.