10/13/2014 - New Proposed AML Customer Due Diligence Requirements
8/21/2014 - Treasury Regulations Implemented to Address FATCA Impact Broker-Dealers and Investment Advisers
5/27/2014 - FINRA Backing Away From Reliance on Rule 8210 for Routine Information Requests
4/10/2014 - NSCP Presentation on Cyber Security, Data Protection & Business Continuity
9/7/2012 - SEC Comment Letter - JOBS Act - Crowdfunding
8/31/2012 - FINRA Comment Letter on Regulatory Notice 12-34 Crowdfunding
6/23/2010 - IA Registration and Regulatory Issues
The LeGaye Law Firm, P.C., brings depth of knowledge and experience gained from years of hands-on experience in providing regulatory and compliance advise and 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 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 thier compliance with a multitude of regulatory requirements that they face on a regular basis.
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.
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