Mock Regulatory Exams & Risk Assessments

The LeGaye Law Firm is well equipped to assist investment and hedge fund advisors in taking proactive steps to identify and assess areas of risk. Part of the legal process provided includes on-site mock regulatory exams. The exam process is also an integral part of the risk assessment and review necessary to meet a firm's annual testing requirement. As part of the testing and risk assessment process, the firm will evaluate all aspects of your business subject to regulatory legal compliance, including:

• Trading and Transaction Records
• New Account Applications
• Customer Complaints and Arbitration Matters
• Affiliated Persons' and Advisory Personnel Files
• Advertising and Marketing Materials
• Written Policies and Procedures Manuals
• Codes of Ethics and Personal Trading Records
• Registration Records
• Performance and Web-Site Advertising
• Client Disclosure Documents and Privacy Notices
• Testing of Anti-Money Laundering programs, Business Continuity Plans, Regulation S-P controls and Other Compliance Programs
• Client Contracts and Account Files
• Supervisory Compliance Controls
• Bookkeeping Records
• Account Ledgers
• Processes for Evaluating Actual and Potential Conflicts of Interest and Mitigation thereof

Upon completion of the mock examination and/or risk assessment, The LeGaye Law Firm P.C., will provide an initial finding report that will address any critical legal concerns that may require immediate action. The firm will then issue a final report, which addresses the annual review process for the investment adviser.  

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