The LeGaye Law Firm, P.C., brings depth of knowledge and experience gained from years of hands-on experience in providing regulatory, registration, compliance support services to the financial services industry. Located in Houston, Texas, the firm’s expertise is targeted to answer and respond to the complex legal and practical questions, issues and challenges facing broker-dealers, investment advisers, and other corporate organization entities on a timely and cost-effective basis. The regulatory advice and compliance services provided focuses on assisting firms and managers in maintaining their compliance with a multitude of regulatory requirements that they face on a regular basis.
Practice Areas
- FINRA, SEC and State Registration Services
- Written Supervisory Policies and Procedures
- Risk Assessment/Management and Compliance Program Testing
- Anti-Money Laundering
- Financial and FINOP Services
- Financial Industry Contracts and Agreements
- Regulatory Responses
- Distribution, Structuring and Due Diligence
- Ongoing Compliance Services
- Investment Adviser Registration
- Written Compliance Policies and Procedures
- Mock Regulatory Exams and Risk Assessments
- Contracts and Agreements
- RIA Regulatory Responses
- Other Investment Advisory Services
Corporate Organization Services
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.
Legal Updates
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