Other Investment Advisory Services

The LeGaye Law Firm, P.C. also provides the following ongoing counsel and legal support services:

• Transitioning to a new business association (such as an independent RIA)
• Compliance with the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other laws pertaining to investment advisers and their representatives
• Mock SEC examinations and firm risk assessments to address the annual review of the policies and procedures to determine if they continue to work as designed or whether changes are needed to assure their continued effectiveness.
• Responses to regulatory inquiries and investigations
• Review and assessment of client disclosures in Forms ADV, Offering Memorandums, performance marketing materials and RFP responses
• Counsel regarding fiduciary obligations, reporting and recordkeeping requirements, soft dollar arrangements and best execution obligations, use of third-party solicitors and trade allocation and aggregation considerations
• Creation, testing and maintenance of compliance programs
• Customized Codes of Ethics
• Development of Regulation S-P policies (privacy notices) including processes to safeguard confidential client information

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