LegAyeLaw.com
About LegAyeLaw.com
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. Broker Dealer Counsel
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.
Business Law
Daniel LeGaye has been involved actively in Corporate, Securities and Business Law Since 1980. Daniel has successfully represented both individuals and businesses and guided them in a wide variety of commercial transactions, corporate structuring and regulatory compliance issues. Mr. LeGaye's primary career focus...Business Law.
Practice Areas
Broker/Dealer Counsel
* 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 Counsel
* 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
Corporate Organization Counsel
