STP’s Compliance Experts Help You Fulfill Your Regulatory Obligations
Compliance Services Tailored to Your Firm’s Needs
Our investment adviser compliance services, ComplianceAdvisor, are designed to support state or SEC-registered investment advisers in fulfilling their regulatory obligations with ease and confidence. While every firm is required to meet specific regulatory standards, we understand that each firm has its own unique compliance needs. That’s why we offer customizable solutions, allowing us to tailor our services to match your firm’s specific requirements. Whether you’re a small boutique advisory firm or a large-scale wealth management organization, our flexible compliance programs ensure that you receive the right level of support, whether you need foundational assistance or comprehensive, hands-on management.
Our ComplianceAdvisor solutions cover a wide range of compliance requirements and are structured to streamline your regulatory responsibilities.
Our solutions include:
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Form ADV & Form PF: We assist with the preparation and filing of Form ADV, which includes the required disclosures about your business, practices, and conflicts of interest. Additionally, we provide support for Form PF filings to help private fund advisers meet reporting requirements to the SEC.
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Form 13 Filings: Our team ensures that your firm complies with the SEC’s Form 13 filing requirements, including timely submission of 13F and 13D forms, essential for advisers managing large amounts of securities.
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Performance Advertising Disclosures: We help you navigate the complexities of performance advertising, ensuring that your firm adheres to SEC guidelines for advertising investment performance, ensuring transparency and accuracy in client communications.
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Compliance Policies: We assist with the creation, review, and updating of your compliance policies, ensuring they align with regulatory requirements and best practices in the industry.
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Exams and Compliance Reviews: Our expert team conducts thorough compliance reviews and mock SEC exams to help you assess the effectiveness of your internal controls and practices, identifying potential risks and areas for improvement before an actual regulatory examination.
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Outsourced Compliance Functions: For firms needing more extensive support, we offer outsourced compliance services, including the option to fully manage your compliance functions or take on specific roles such as the Chief Compliance Officer (CCO).
With ComplianceAdvisor, your firm can ensure that you remain in full compliance with regulatory standards while focusing on your core business activities. Let us provide the expertise and support you need to navigate the ever-changing regulatory landscape effectively.
