What We Do

Compliance

Innovative, practical compliance solutions

Compliance Services

Compliance Services

STP’s Compliance Services offers three levels of support to help you and your firm develop, achieve, and maintain an institutional culture of compliance.

Platinum: outsourced compliance program accesses STP’s CCO and compliance team

Silver: software-driven platform supporting an in-house CCO with STP’s systems and teams

Bronze: access STP’s ControlOps software to manage the compliance calendar and tasks

  • ADV & 13F/H Filings
  • Compliance Manuals & Revisions
  • Code of Ethics
  • Audit Support
  • Personal Trading Policies
  • Compliance Calendar

More About Our Compliance Services

How To Deploy Our Compliance Services

Outsourcing Model

Outsource compliance functions to STP.

Software & Apps

Get our cloud-based compliance software.

Staffing Model

Access our compliance expertise.

Connect With Our Compliance Solutions

Contact us today to schedule a call to learn how STP’s Compliance Services reduce costs while keeping your firm compliant and give you more time to manage clients and raise assets.

And with greater efficiency.

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