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.

Practice Areas

Risk Assessments & Testing Compliance Programs
Anti-Money Laundering Compliance
Written Policies, Procedures & Internal Controls
Financial Industry Contracts
Client Disclosure Documentation
Responses to Regulatory Inquiries
Financial and Operational Services
Distribution and Structuring
Ongoing Industry Services

Investment Adviser
Mock Regulatory Exams & Risk Assessments
Response to Regulatory Inquiries
Investment Advisory Contracts and Agreements
Written Policies, Procedures & Internal Controls
Client Disclosure Documents
Other Investment Advisory Services