Ongoing Compliance Services

The LeGaye Law Firm, P.C., also provides broker-dealer counsel and support 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
  • Provide quarterly review and update of the Written Supervisory Procedures and the Supervisory Controls Procedures
  • Creation, review and analysis of corporate records, including by-laws, operating agreements and other legal documentation
  • Creation, review and analyze client legal documents (new account forms, privacy notices, prospectus receipts, 1035 exchange disclosures, quarterly performance reports, marketing disclosures, etc.)
  • Provide the Annual Compliance Meeting package and delivery of same to associated persons of the firm
  • Provide CRD Web Administration
  • Prepare the CE Needs Analysis and CE Plan
  • Prepare and monitor regulatory filings
  • 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
  • Provide FINRA and SEC Exam preparation support