The LeGaye Law Firm, P.C.

Phone: 281-367-2454
Written Supervisory Procedures
2002 Timberloch, Suite 200
The Woodlands , Texas  77380

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Business Hours


Monday
9:00 am - 5:00 pm
Tuesday
9:00 am - 5:00 pm
Wednesday
9:00 am - 5:00 pm
Thursday
9:00 am - 5:00 pm
Friday
Closed
Saturday
Closed
Sunday
Closed

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About

The LeGaye Law Firm, P.C., The Woodlands

The LeGaye Law Firm, P.C., brings depth of knowledge and experience gained from years of hands-on experience in providing legal counsel and coordination of compliance services to the financial services industry. The firm’s expertise is targeted to answer and respond to the complex legal and practical questions and challenges facing broker-dealer and investment advisory entities on a timely and cost-effective basis. The legal advice and compliance services provided assists firms and managers in maintaining compliance with a multitude of regulatory requirements.

Products & Services

  • Written Supervisory Procedures
  • Anti-Money Laundering Procedures
  • Anit-Money Laundering Testing
  • Mock Audits
  • employment agreements
  • disclosure documents
  • Compliance Review
  • Code of Ethics
  • Form ADV Review
  • Document preparation
  • Internal Control Testing
  • Form ADV Preparation
  • selling agreements
  • •Investment policy statements
  • Regulatory Inquiry Responses
  • Financial and Operations Services
  • FINOP Services
  • Corporate Organization
  • Risk Assessments & Compliance Program Testing
  • Financial Industry Contracts


Category

Business & Corporate Lawyers