Shared Insights

The TRADE predictions series 2025: Post-trade and the shift to T+1

There will be greater focus in 2025 on European competitiveness, with regulators needing to strike the right balance between fostering growth, competition and innovation in clearing on one hand and maintaining regulatory oversight and financial stability on the other. Central clearing will play a key role in this debate, which will be essential for advancing the region’s capital markets, and we look forward to Emir 3.0 helping in this regard.

STP’s Fundraising Predictions

Fundraising Predictions Are In!

Established firms will continue to attract the majority of new capital, but emerging managers who tend to charge lower fees will get more attention from allocators looking for new areas to place their funds.

David Goldstein, STP Investment Services

Third-Party Cyber Risk Likely to Stay a Focus for Trump’s SEC

The agency under the Trump administration is expected to focus on cybersecurity controls in its examinations at a time when cyberattacks are considered one of the top threats to financial services firms.

STP’s Lori Weston, Head of Compliance, said, “Cybersecurity has been a regulatory concern for over a decade, and now we’ve got that emerging issue of artificial intelligence.  At the end of the day, it’s still the advisor that’s responsible for protecting their firm and client data. So, politics aside, with the proliferation of methods that cyber criminals use to access data, firms should expect that they and their vendors will experience a breach at some point. It’s a question of when, not if.”

STP Shortlisted for Best Fund Administration Service

STP is thrilled to announce that we have been shortlisted for the 2025 Private Asset Management Awards for Best Fund Administration Services recognizing STP as one of the best in the private wealth management community.

Now in its 21st year, the Private Asset Management Awards honor outstanding achievements in the US private wealth management space. For over two decades, these Awards have provided a platform for top investment professionals, wealth advisors, legal firms, consultants, and other key service providers operating within the sector to showcase their accomplishments.

STP Shortlisted for Best Back/Middle Office Tech Provider

STP is thrilled to announce that we have been shortlisted for the 2025 Fund Intelligence Operations & Services Awards for Best Back/Middle-Office Tech Provider for our BluePrint product, positioning us among the nation’s top innovators.

Year-over-year, the With Intelligence Fund Operations and Services Awards recognize and reward fund service providers who have demonstrated exceptional client service, innovative product development, and strong and sustainable business growth in 2024. The rigorous judging process, based on the views of a panel of leading industry experts, ensures that the awards recognize those driving up service standards across the sector and stand out from the crowd.

The Biggest Compliance Traps Happening At Your Firm

As a compliance officer responsible for administering your firm’s compliance program, you are keenly aware of your firm’s compliance risks, but are you aware of the biggest compliance traps happening at your firm? The SEC requires advisers to implement compliance programs designed to mitigate these risks. As news of SEC enforcements continue to be reported, you’re likely evaluating whether your firm’s compliance program could withstand similar regulatory scrutiny. If you find yourself thinking, “that’s not us,” it may be time to dig deeper. Your firm may have compliance vulnerabilities that aren’t obvious, yet could pose significant regulatory risks.

STP Differentiates Investment Services with ComplianceAdvisor for BuySide Firms

STP Investment Services has introduced STP ComplianceAdvisor, a new practice aimed at providing comprehensive compliance solutions for investment firms. This expansion leverages STP’s existing expertise in technology-enabled investment servicing to address the growing demand for compliance assistance among its investment advisory clients.

SEC warns firms to get their AI house in order

STP’s Lori Weston, Director of Product and Strategy was mentioned in FinancialPlanning’s SEC warns firms to get their AI house in order.

The SEC might have stepped back from a new proposal meant to make advisors responsible for eliminating conflicts of interest in AI-generated investing recommendations. But artificial intelligence, machine learning, and similar technologies remain top concerns for the industry watchdog, as evidenced by a report on examination priorities released Monday.

Lori says the concerns extend to third-party firms who might use AI to provide outsourced services to advisory firms. This is particularly true for vendors who provide help with investment selection and management.

“Advisors should review their overall policies regarding the supervision and oversight of all third-party providers, with a particular focus on the third-party provider’s use of AI,” Weston said. “In today’s interconnected environment, AI risks can infiltrate a firm’s operations via third-party vendors.”

Read more about this article and what Lori shares here.

SEC’s 2025 Priorities Include Fiduciary Conduct, AI Use

STP’s Lori Weston, Director of Product and Strategy was mentioned in planadviser’s SEC’s 2025 Priorities Include Fiduciary Conduct, AI Use.

The Securities and Exchange Commission will prioritize fiduciary conduct, compliance, and the use of artificial intelligence, among other things, as examination priorities in 2025, the regulator’s division of examinations announced Monday.

AI Usage Top Priority for SEC Examiners in 2025

STP’s Lori Weston, Director of Product and Strategy was mentioned in WealthManagement.com’s AI Usage Top Priority for SEC Examiners in 2025.

Examiners at the Securities and Exchange Commission are investigating advisors’ integration of artificial intelligence into their operations, including portfolio management, trading, marketing, and compliance.

Congratulations to Our NICSA Nova Emerging Leaders!

We are thrilled to announce that three exceptional members of our team at STP Investment Services have been recognized with the prestigious NICSA Nova Emerging Leaders Award: Kaisha Schnoll, David Likens, and Sam Landset. This honor highlights their remarkable contributions to our firm and the broader financial services industry.

STP launches ComplianceAdvisor to meet increasing regulatory needs

STP’s Dan Houlihan, CEO, shared insights with Private Funds CFO reporter Jennifer Banzaca on the launch of STP’s ComplianceAdvisor.

Dan noted that while STP has in the past offered some basic compliance services, they were only offered to institutional firms who outsourced some or all of their investment operations to STP.  STP ComplianceAdvisor greatly expands STP’s capabilities as well as its outreach, offering comprehensive regulatory and compliance services to address the ever-evolving regulatory landscape for all investment advisers; including hedge funds, private equity advisers, wealth managers and family offices.