STP’s Compliance Experts Help You Fulfill Your Regulatory Obligations
Compliance Services Tailored to Your Firm’s Needs
Our compliance services, ComplianceAdvisor, can support any state or SEC-registered investment advisors to help fulfill your regulatory obligations. While every firm is bound to meet regulatory requirements, not everyone requests the same level of support, which is why we can create a customized plan to support your firm.
Our solutions include:
- State or SEC Registration
- Ongoing Compliance Consulting
- Exams (Annual Compliance Reviews or Mock Exams)
- Risk Assessments
- Customized Compliance Manuals
- Regulatory Filings
- Deputy Chief Compliance Officer
Support for Regulatory Filings
Rely on STP to assist with the preparation of your regulatory filings. We also offer completion monitoring for a number of tasks.
- Form PF
- Form ADV (parts 1, 2A and 2B)
- Form 13F
- Schedule 13G
- Schedule 13H
Compliance Program Implementation
Our experts will help get your compliance program up and running smoothly, assisting with preparation, updates and reviews of:
- Compliance manuals
- Compliance calendars and logs
- Risk matrices and responsibility checklists
- Disaster Recovery Planning (DRP) and Business Continuity Plans
- Code of Ethics
Employee Training
We offer employee training across various aspects of your compliance program, including but not limited to:
- Code of Ethics
- AML
- Political contributions
- Proxy voting rules
- Advertising and marketing
- Privacy, confidentiality and protecting client assets
- Email reviews and etiquette
