LeGaye Regulatory Support Services provides extensive regulatory support for broker dealer compliance and services, including:
- Broker Dealer Registration Services
- Compliance Program Testing
- Anti-Money Laundering
- Written Supervisory Procedures
- FINOP & Financial Services
- Regulatory Responses
- Distribution, Structuring and Due Diligence
- Ongoing Compliance Services
- Broker-Dealer Contracts
Broker Dealer Compliance
LeGaye Regulatory Support Services offers Broker Dealer Compliance and Services in The Woodlands, TX and throughout the nation.