Daniel Legaye

Attorney, The LeGaye Law Firm

My legal practice includes diverse experience with a broad range of clients in the financial industry including advising clients, including broker-dealer and investment advisory entities regarding their capital structure, registration, reporting and regulatory examinations of their firms by FINRA, the SEC and various state agencies. Those services include: 1. Advising clients on the structure and systematic review of supervisory procedures and compliance systems to meet complex regulatory requirements 2. Drafting contracts and agreements for full service and boutique broker-dealers and investment advisers 3. Conducting and supervising compliance examinations to ensure alignment with all federal, state and selfregulatory organizations rules, regulations and AML requirements 4. Supervision of the preparation of monthly and quarterly financial reports for clients to meet FINRA and SEC requirements Coordinating with accountants on the preparation of annual audits for submission to FINRA, the SEC and states 5. Representing clients with respect to product offerings and reviews of offering documents including private offering memorandums, escrow account agreements and placing agent agreements Bar Admissions and Current Regulatory Registrations The State Bar of Texas FINRA Series 28 Qualified Financial and Operations Principal Professional Affiliations American Bar Association State Bar of Texas Montgomery County Bar Association National Society of Compliance Professionals Speaking Presentations Because of the depth of Mr LeGayes background and experience, Dan is a regular speaker on issues including antimoney laundering compliance, regulatory, compliance and exam issues for both brokerdealers as well as investment advisers Dan is a speaker for financial industry associations and financial institutions, including SIFMA, NAREIT, SILA, CIAB, Charles Schwab Institutional, Mesirow Financial, RBC Dain and IMN REIT Conferences