The LeGaye Law Group brings depth of knowledge and experience gained from years of hands-on experience in providing registration and compliance services to the financial services industry. Located in The Woodlands, Texas, our expertise is targeted to answer and respond to the complex regulatory, compliance and practical questions and challenges facing broker-dealers, investment advisers, municipal advisors and NFA members on a timely and cost-effective basis.
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