The LeGaye Law Firm, P.C.

Areas of Practice (19)

  • Corporate Organization
  • Broker / Dealer
  • Risk Assessments & Testing of Compliance Programs
  • Anti-Money Laundering Compliance
  • Written Policies
  • Procedures & Internal Controls
  • Financial Industry Contracts
  • Client Disclosure Documents
  • Response to Regulatory Inquiries
  • Financial
  • Operations Services
  • Distribution
  • Structuring
  • Ongoing Industry Services
  • Investment / Advisor
  • Mock Regulatory Exams & Risk Assessments
  • Other Investment Advisory Services
  • Investment Advisory Contracts
  • Agreements.

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