The LeGaye Law Firm, P.C. is well equipped to assist broker-dealers (BD) in taking proactive steps required to identify, assess and reduce areas of risk. Part of the risk assessment process provided by the firm includes on-site mock regulatory testing of client systems and BD procedures. This independent third-party testing process is an important and integral part of the risk management and review necessary that broker dealers should incorporate in meeting their annual testing requirement. As part of the testing and risk assessment process, The LeGaye Law Firm, P.C., will evaluate the aspects of your business subject to regulatory compliance, including:
Upon completion of the Firm's testing or risk assessment, you will be provided with an initial finding report , which will addresses any critical concerns requiring immediate action. Based upon the needs of our client's, the Firm is able to issue a final report that addresses the annual report occasioned by FINRA Rule 3130.
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The LeGaye Law Firm's expertise is targeted to respond and assist to complex legal and practical questions related to risk management and assessment. Please contact The LeGaye Law Firm today.