Written Policies & Procedures

The LeGaye Law Firm, P.C. assists financial services industry clients develop effective written policies, procedures, and internal controls (WSPs) that help prevent abuses, detect and mitigate conflicts of interest, reduce firm risk, and maintain legal compliance with protocols and regulatory requirements. This approach helps to define the roles and responsibilities of your senior management and supervisors while promoting successful business practices. To help accomplish this, ongoing counsel and support services offered by The LeGaye Law Firm, P.C., both directly and through its affiliations, may include advice regarding:

  • Creation, Review or Enhancement of Written Supervisory Procedures (WSPs) or Written Policies and Procedures Manual
  • Guidance on Constructing a “Chinese Wall,” Supervising Interdepartmental Communications Communicating Restricted and Watch Lists
  • Employee Training on New Policies and Procedures
  • Development of Business Continuity Plan Documents
  • Development of Anti-Money Laundering Policies and Procedures, Including an Annual Independent Audit
  • Analysis of Best Execution Practices and Review of Best Execution Processes and Compliance with SEC and FINRA Recordkeeping
  • Requirements
  • Evaluation and Implementation of Recordkeeping and Document Retention Policies
  • Review and Assessment of Privacy Policies and Procedures Regarding Safeguards for Protecting Confidential Client Information
  • Analysis of Conflicts of Interest Processes
  • Annual Testing of Policies, Procedures and Internal Controls, with Written Assessment Upon Request