STP Institute

Business Continuity Plans – WatersTech

COVID-10 has tested many aspects of business. One in particular, Business Continuity Planning, has forced firms to not only review, but in many cases, fully enact plans. STP’s nearly flawless execution of our BCP at a moment’s notice stands out.

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.

The SEC Wasting No Time Signaling A Shift In Priorities

Without a confirmed chairman in place, the Securities and Exchange Commission (SEC) has wasted no time signaling a shift from the previous administration’s priorities. Acting Chairman Mark Uyeda announced the creation of an agency-wide task force to study cryptocurrencies and establish a regulatory framework grounded in legal clarity.

On the first full day of the new administration, the SEC revealed its intent to explore a “sensible regulatory path that respects the bounds of the law.” This announcement underscores a sharp, yet anticipated, departure from the approach taken under Chairman Gary Gensler during the Biden administration. Gensler’s stance categorized most crypto offerings as securities, demanding registration and oversight by the SEC.

STP Mentioned in Mergers & Acquisitions

STP is proud to be mentioned in Mergers & Acquisitions September/October M&A Magazine on LP’s Focus on Value. STP’s Dan Ceneviva, Head of Product and Technology discussed how it is not just more detailed data that is being demanded but the different types of data being added to what’s already expected.

Dan goes on to say that Wealth Managers are allocating more of their Ultra-High Net Worth’s capital into these funds, and there’s a growing expectation from those investors to receive the type of information that a typical retail investor is used to receiving and should be able to understand.  Secondly, GPs are getting more detailed requests from LPs in the due diligence process, which includes more details about past performance and track record.

Click here to read his comments further.