Ongoing Industry Services
The LeGaye Law Firm, P.C., also provides broker-dealer legal counsel 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.
- Creation, review and analysis of corporate records, including by-laws, operating agreements and other legal documentation
- Create, review and analyze client legal documents (new account forms, privacy notices, prospectus receipts, 1035 exchange disclosures, quarterly performance reports, marketing disclosures, etc.)
- 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
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The LeGaye Law Firm's expertise is targeted to respond and assist to complex legal and practical questions related to industry services. Please contact The LeGaye Law Firm today.