Compliance

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

Employee Training

We offer employee training across various aspects of your compliance program, including but not limited to:

Code of Ethics
AML
DRP
Political contributions
Proxy voting rules
Advertising and marketing
Privacy, confidentiality and protecting client assets
Valuations
Email reviews and etiquette
Private placement rules and regulations
FCPA

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.