Compliance

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

Compliance Committee Governance

STP will help keep your compliance committee on track by establishing or reviewing reporting protocols, as well as conducting meetings with senior managers.