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Tag Archives: Client On-Boarding

LeGaye Law Firm Quoted: Article on Client On-Boarding

March 17, 2015PressClient Due-Diligence, Client On-Boarding, FINRADaniel LeGaye

Daniel LeGaye, Managing Partner of the LeGaye Law Firm PC, was quoted in a March 17, 2015 article on the broadening impact on the on-boarding precess of financial firms that … Continue reading LeGaye Law Firm Quoted: Article on Client On-Boarding →

New Proposed AML Customer Due Diligence Requirements

October 13, 2014Legal AlertsAML, Client Due-Diligence, Client On-BoardingMichael Schaps

The Financial Crimes Enforcement Network (FinCEN) is proposing new rules under the Bank Secrecy Act (BSA) to clarify and strengthen customer due diligence (CDD) requirements for banks, broker-dealers, mutual funds, … Continue reading New Proposed AML Customer Due Diligence Requirements →

Legal Alerts

Impact of Corporate Transparency Act on Broker-Dealers and Investment Advisers
Its Official, RIA Annual Compliance Reviews Must be Documented in Writing

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