Laura Rabon

Laura Rabon joined the LeGaye Law Group in 2013, and is a team member in our compliance and financial services support group.  As a team member, her duties with us include

  • Financial and FINOP services support
    • Provides support for FINOP services
    • Processing accounts payables and receivables for clients
    • Prepares monthly bank reconciliations for clients
    • Provides support for FINOP and accounting services
  • Processing regulatory required licensing for firms, registered agents and non-registered associated persons for our broker-dealer and insurance clients
  • Processing regulatory filing compliance deadlines for our broker-dealer clients, which include:
    • Account Administrator annual reviews
    • Agent terminations
    • Annual Assessments
    • Annual Renewals
    • Business Continuity Plan updates
    • Contact Questionnaire filings
    • Continuing education
    • Fidelity Bond renewals
    • Senior Management Approvals
  • Preparation and distribution of Written Supervisory Procedures
  • Providing administrative support related to annual 3120 reviews and AML audits