What We Do


STP’s Compliance Experts Help You Fulfill Your Regulatory Obligations

Compliance Services Tailored to Your Firm’s Needs

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

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

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

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

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

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

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.

Approach Compliance with Confidence. Get In Touch Today

Approach Compliance with Confidence. Get In Touch Today

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.

Approach Compliance with Confidence

Learn more about how STP’s compliance services can help keep your firm compliant efficiently and cost-effectively, while giving you more time to grow your business.

Connect With Us

Join Our Newsletter