Innovative, practical compliance solutions
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
Who We Serve
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.