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.