STP’s Compliance Experts Help You Fulfill Your Regulatory Obligations
Compliance Services Tailored to Your Firm’s Needs
While every firm is bound to meet regulatory requirements, not everyone requires the same level of support. STP offers three tiers of compliance service to help you meet your obligations efficiently and cost-effectively.
- Platinum: Our fully outsourced program, leveraging STP’s Chief Compliance Officer (CCO) and compliance team.
- Silver: Use our software platform to support your in-house CCO with our powerful compliance systems and team of experts.
- Bronze: Manage your compliance calendar and ongoing tasks with STP’s auditor-approved ControlOps software.
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
- Suppression of Terrorism and UN Sanctions Report
Compliance Program Implementation
Our experts will help get your compliance program up and running smoothly, assisting with preparation, updates and reviews of:
- Rule 206(4)-7
- Compliance manuals
- Compliance calendars and logs
- Risk matrices and responsibility checklists
- Electronic communications
- Disaster Recovery Planning (DRP) and Business Continuity Plans
- Code of Ethics
We offer employee training across various aspects of your compliance program, including but not limited to:
- Code of Ethics
- Political contributions
- Proxy voting rules
- Advertising and marketing
- Privacy, confidentiality and protecting client assets
- Email reviews and etiquette
- Private placement rules and regulations
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
Ongoing Compliance Monitoring
Count on STP’s expert review and assistance with recurring compliance tasks, including:
- Resolution of violations/deviations
- Periodic and annual disclosures
- Compliance policy and procedure testing (Rule 206-4-7)
- Code of Conduct
- Personal Trading archiving and approval
- Email review
- Annual and quarterly employee attestations
- Marketing and advertising review and approval
- Conflicts of interest risks
- Privacy protection
- Maintenance, storage and security of books and records
AML Compliance Assistance
Trust your AML Compliance program to STP. We’ll review and test the program itself, as well as assist with conducting OFAC checks and CIP due diligence, as needed.