Daniel E Legaye Attorney at Law PC

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(281) 367-2454Call Visit WebsiteVisit Website Map & DirectionsDirections14 Spotted Fawn CtSpring, TX 77381 Write a ReviewWrite Review

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Daniel E Legaye Attorney at Law PC

Money Laundering
The LeGaye Law Firm, P.C. offers comprehensive regulatory advice, remediation services and risk management assessment relating to all aspects of anti-money laundering (“AML”) rules and regulations for broker-dealers and other financial institutions. Our firm can also provide comprehensive and diverse professional services including drafting AML policies and procedures, providing annual independent testing of AML programs and compliance-training related to best practices related to know your customer (KYC), Suspicious Activities Reports (SARs), Bank Secrecy reporting, and OFAC/Control list compliance. Finally, we can recommend technical solutions that will provide the most effective transaction monitoring and suspicious activity detection systems.

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Legaye Daniel Attorney

Daniel Legaye

Daniel Legaye Attorney

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https://www.legayelaw.com/calendar/finra-contact-system-review

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Attorneys, Business Law Attorneys, Business Litigation Attorneys, Corporation & Partnership Law Attorneys, Criminal Law Attorneys, Legal Service Plans

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Details

Phone: (281) 367-2454

Address: 14 Spotted Fawn Ct, Spring, TX 77381

Website: https://www.legayelaw.com/calendar/finra-contact-system-review

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Daniel E Legaye Attorney at Law PC

Money Laundering
The LeGaye Law Firm, P.C. offers comprehensive regulatory advice, remediation services and risk management assessment relating to all aspects of anti-money laundering (“AML”) rules and regulations for broker-dealers and other financial institutions. Our firm can also provide comprehensive and diverse professional services including drafting AML policies and procedures, providing annual independent testing of AML programs and compliance-training related to best practices related to know your customer (KYC), Suspicious Activities Reports (SARs), Bank Secrecy reporting, and OFAC/Control list compliance. Finally, we can recommend technical solutions that will provide the most effective transaction monitoring and suspicious activity detection systems.

Business and Corporate Law

Corporate Law
The LeGaye Law Firm, PC offers extensive experience in entity formation, including the corporate formation (LLCs, S-Corps, etc.) of the various entities utilized in the financial industry and providing guidance, legal advice, and corporate documentation to directors and officers related to the corporate activities of the respective companies, primarily in the greater Houston area.
Mergers and Acquisitions
Daniel E. LeGaye has represented broker-dealers on a variety of distribution and structuring matters, including legal advice on mergers and acquisitions, the public and private offering context for selling group managers and placement agents affiliated with REITs, mutual fund and variable annuity products, as well as the placement agents of private equity, venture capital and hedge fund interests in private offerings. Additionally, the firm has provided extensive advise with respect to the due diligence obligations of broker-dealers with respect to the various products, both as a managing dealer and placing agent.
Business Disputes
Daniel LeGaye has been involved actively in Corporate, Securities and Business Law since 1980. Daniel has successfully represented both individuals and businesses and guided them in a wide variety of commercial transactions, corporate structuring and regulatory compliance issues. Mr. LeGaye’s primary career focus.. Business Law.
Business Transactions
Daniel E. LeGaye has been involved actively in Corporate, Securities and Business Law since 1980. Mr. LeGaye has successfully represented both individuals and businesses and guided them in a wide variety of commercial transactions, corporate structuring and regulatory compliance issues. Mr. LeGaye’s primary career focus has been on the financial and securities industry where he has worked closely with institutions, broker/dealers, investment advisers, and insurance agencies to ensure compliance with the myriad of applicable securities laws, rules, and regulations.

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