LeGaye Law Group is comprised of LeGaye Regulatory Support Services LLC, and The LeGaye Law Firm, P.C. We provide full service registration, compliance and regulatory support services to the financial services industry, including broker-dealers, investment advisers, municipal advisors, members of the National Futures Association and commodity trading activities governed by the Commodity Futures Trading Commission.
The experienced and talented staff of the LeGaye Law Group brings knowledge and industry understanding gained from years of hands-on experience in providing regulatory, registration, compliance support services to the financial services industry. Located in The Woodlands, Texas, the our expertise is targeted to find practical solutions to complex regulatory and practical issues and challenges facing our clients, on a timely and cost-effective basis.
Invoice Payments for Professional Services
- BD Registration Services
- Compliance Program Testing
- Anti-Money Laundering
- Written Supervisory Procedures
- FINOP & Financial Services
- Regulatory Responses
- Distribution, Structuring and Due Diligence
- Ongoing Compliance Services
- Broker-Dealer Contracts
- RIA Registration
- Mock RIA Regulatory Exams
- RIA Regulatory Responses
- RIA Compliance Procedures
- Other RIA Services
- Contracts and Agreements
- Client Disclosure Documents
The mission of LeGaye Regulatory Support Services and The LeGaye Law Firm is to focus on providing regulatory compliance support services to financial services firms in a manner that brings value to our clients, both through our focus on providing regulatory and compliance solutions customized to their individual needs, and through our staff of professionals who provide advice and counsel on a result oriented basis.
To achieve our Mission, we are driven by our core values, which include the commitment to earn the trust, respect, and loyalty of our clients; provide our clients with prompt, efficient and effective consulting and representation; remaining accessible and responsive to clients; and most importantly, the handling of client needs with honesty, integrity, fairness, compassion, courtesy and diligence.
Compliance and Legal Updates
Please check out our recent compliance updates. View Compliance and Legal Update Archive