Investment Advisors & Investment Companies

Mainstay’s Investment Advisor and Investment Company services provide our clients with the regulatory and compliance expertise necessary to meet the ever changing challenges of the current regulatory environment.  Our services are tailored to the needs of our clients to ensure compliance with the SEC or state regulations and rules.  Mainstay also offers our clients a compliance outsourcing solution that allows them to concentrate their efforts on growing their business and its bottom line.

Experience ● Understanding ● Solutions

Mainstay's Areas of Expertise and Services Include:

Regulatory and Compliance Services:

Advisory Agreements AML Procedures/Reviews Best Execution Reviews Books and Records Business Continuity Plans Compliance Procedures Manuals Compliance Training Ongoing Education Due Diligence/Product Reviews Form ADV Preparation/Amendments Forms U4 and U5 Amendments Marketing, Advertising & Sales Review Ongoing Review of Employee and Proprietary Trading

Registration Services		Additional Services
IAR Registration IARD Administration IARD Entitlements SEC registration State Registration		Due Diligence Expert Witness Litigation Support Ongoing Review of Employee and Proprietary Trading Recruitment/Executive Search

Mainstay Capital Markets Consultants, Inc. can assist with the formation of new Investment Advisors. For more information, click here.