The LeGaye Law Firm, PC

About

The LeGaye Law Firm, P.C., brings depth of knowledge and experience gained from years of hands-on experience in providing legal counsel and coordination of compliance services to the financial services industry. The firm's expertise is targeted to answer and respond to the complex legal and practical questions and challenges facing broker-dealer and investment advisory entities on a timely and cost-effective basis. The legal advice and compliance services provided assists firms and managers in maintaining compliance with a multitude of regulatory requirements.

The LeGaye Law Firm's services include advising broker-dealers and investment advisers on the regulatory and compliance issues, including advising clients on issues regarding their capital structure, registration, changes in business activities, financial reporting, preparation for regulatory examinations and regulatory responses for inquiries by FINRA, the SEC and various state agencies; advising clients on the structure and systematic review of supervisory procedures and compliance systems to meet complex regulatory requirements; drafting contracts and agreements for full service and boutique broker-dealers and investment advisers; conducting and supervising compliance examinations to ensure alignment with all federal, state and self regulatory organizations rules, regulations and AML requirements, advising on regulatory financial issues and providing advice on distribution and structuring issues related to the private and public placement of securities.

Keywords

finra compliance, investment adviser compliance, brokerdealer regulation, aml, antimoney laundering, ia regulation

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