The LeGaye Law Firm, P.C., also provides broker-dealer counsel and support on the following issues:
- Structuring, implementation and co-coordinating of the annual review of the internal controls and supervisory procedures relied upon for regulatory compliance and sound risk management procedures and processes
- Provide quarterly review and update of the Written Supervisory Procedures and the Supervisory Controls Procedures
- Creation, review and analysis of corporate records, including by-laws, operating agreements and other legal documentation
- Creation, review and analyze client legal documents (new account forms, privacy notices, prospectus receipts, 1035 exchange disclosures, quarterly performance reports, marketing disclosures, etc.)
- Provide the Annual Compliance Meeting package and delivery of same to associated persons of the firm
- Provide CRD Web Administration
- Prepare the CE Needs Analysis and CE Plan
- Prepare and monitor regulatory filings
- Creation and review of broker-dealer selling agreements
- Assessment of business continuity, disaster recovery and succession plans
- Due diligence of third-party service providers
- Due diligence of private placement products
- Advertising, research and communications with the public
- Gifts and entertainment issues
- Net capital and customer protection rules
- Provide FINRA and SEC Exam preparation support