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Outsourcing Solutions

Mainstay Capital Markets Consultants, Inc. can provide your company with professional and cost effective alternatives to maintaining or developing a full time compliance staff.

Outsourcing allows your staff to focus on your core business and bottom line.

Mainstay provides a comprehensive outsourcing solution designed to promote efficiency and enhance your firm's business. We combine the expertise of our consulting staff with an affordable fixed monthly fee. Our staff offers the knowledge and experience that has been acquired during successful careers at the SEC, FINRA, Broker Dealers, Investment Advisors, and Banks. Simply choose the level of service you want, and allow your staff to focus on growing your business.

The Financial Services Industry currently faces strategic and competitive challenges as complex regulation and requirements evolve. These regulations and requirements place tremendous demands on Investment Advisors and Registered Representatives. We understand that Broker/Dealers, Investment Advisors and Registered Representatives are professionals who are trying to do a very difficult job under difficult circumstances. These difficulties come in many forms including an ever-changing regulatory environment, less than cooperative markets, a litigious plaintiff’s bar, and a demanding client base with high expectations. We believe our role is to provide the guidance and services that enhances and protects our client's businesses. We are committed to working closely with each of our clients and pride ourselves on developing long lasting relationships.

Contact us and we will provide a proposal based on the size, scope and complexity of your operation.

Investment Advisor Service Menu

KEY COMPLIANCE FUNTIONS – OUTSOURCED

I.ANNUAL

TESTING OF BUSINESS CONTINUITY PLAN

ADVISORY BILLINGS

COMPLIANCE REVIEW

Initial/Annual Code of Ethics Certification

Compliance manual -review adequacy of policies and
procedures; include review of any regulatory
or firm audits

BEST EXECUTION/BROKER SELECTION PRIVACY

PRIVACY

Review of privacy safeguards

Annual delivery of privacy statement

CUSTODY COMPLIANCE

Custody Compliance - Firm

Custody Compliance - Individual

INSIDER TRADING

ADV

ADV - Parts 1&2

Annual offer of ADV & Schedule H Brochure

AML

AML Training

REGISTRATIONS

Check state notification requirements for IAR

Check RIA registration in states

Renew registration of firm & representatives

II.QUARTERLY

FORM FILINGS

13F, 13d, 13g

CLIENT ACTIVITY

Check for annual review of client suitability

Review performance reports

Check for activity matching investment
objectives/restrictions

Terminated accounts

FINANCIALS

Review checks/securities

Trial balance

ELECTRONIC STORAGE

Review storage methods; back-up system

III.MONTHLY

CORRESPONDENCE

ACCOUNT ACTIVITY

Review statements for custody reconciliation

FINANCIAL

Reconciliation of bank statements

Check bills/statements

Financial Records -general ledger

IV.DAILY

TRADES/TRANSACTIONS

Check order tickets; review trades

V.INITIALLY

INITIATION OF ADVISORY RELATIONSHIP

Check state registration

Delivery of disclosure documents

Suitability documentation

AML documentation Written Agreement

Delivery of Privacy Policy

EMPLOYEE INITIAL CERTIFICATION (COMPLIANCE)

INITIAL CODE OF ETHICS CERTIFICATION

VI.EVENT DRIVEN

CUSTOMER COMPLAINTS

TRADE ERROR REVIEW

AML SUSPICIOUS ACTIVITY REPORTS

ADVERTISING/COMMUNICATION WITH PUBLIC

GIFTS & ENTERTAINMENT

OUTSIDE BUSINESS

LIST OF ACCESS PERSONS

FORM FILINGS -13d, 13g, 13f

CHANGES IN DOCUMENTS

Compliance Manual

Code of Ethics

Disclosure Documents

Written Agreements


Access to Compliance On Call's Service/Information Desk (Call In Service)
Discount on Consulting Services Through Mainstay Capital Markets Consultants, Inc.
Mainstay Capital Markets Consultants, Inc. is a consulting firm. We are not attorneys and therefore do not offer legal services. All information contained in this website has been derived from sources that we deem to be reliable but cannot be guaranteed.
© 2013 Mainstay Capital Markets Consultants, Inc.
6600 Peachtree Dunwoody Rd 600 Embassy Row, Suite 575 Atlanta, Georgia 30328 ph: 770-352-0120 866-352-0120 fax: 770-352-0038
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