STP Investment Services Unveils New Compliance Services Practice
STP Investment Services Unveils New Compliance Services Practice, STP ComplianceAdvisor, to Meet Growing Demand
STP sets new standard for integrated investment operations, fund administration, and compliance offerings
WEST CHESTER, PA, October 16, 2024 — STP Investment Services (STP), a leading global provider of technology-enabled end-to-end investment servicing solutions, today announced the launch of its new compliance services practice, STP ComplianceAdvisor. The new offering addresses an increasing demand from STP clients seeking compliance solutions to navigate increasingly complex regulatory challenges. This new vertical for STP follows STP’s recent launch of BluePrint, a cloud-native solution that unites data from disparate sources into a single streamlined user interface.
STP ComplianceAdvisor’s offerings include:
- Comprehensive compliance consulting and interpretation of regulations as they apply to a firm’s business and operating model
- Customized compliance policies and procedures designed to meet today’s regulatory expectations without being overly burdensome
- Employee and supervised person training to educate the adviser’s employees regarding their own compliance obligations based on their role
- Preparation and submission of regulatory filings and required disclosures, including Forms ADV and CRS, Form 13 filings, Form PF and Blue Sky filings, and Form U4 filings
- Annual compliance reviews with accompanying written report designed to assist the adviser in meeting its Compliance Rule (Rule 206(4)-7) obligations
- Mock examinations that simulate a regulatory examination, including document request lists, interviews with key personnel, and a report of observations and findings
- Assistance with compliance reviews, including marketing material reviews, personal trade reviews as required by the advisers Code of Ethics, political contribution reviews, and electronic communication reviews
- New investment adviser registration, including firm level registrations with the SEC, state registrations, and exempt reporting adviser filings, as well as registration of advisory personnel, as required
“The launch of this new practice reinforces our commitment to provide holistic solutions to our clients, enabling them to consolidate the number of vendors with which their staff interact on a regular basis,” said Dan Houlihan, Chief Executive Officer of STP Investment Services. “Our multidisciplinary approach promotes stronger client relationships and enables us to be a proactive partner in the operating, reporting and compliance solutions we provide to our clients. By leveraging our operational expertise alongside a robust compliance practice led by industry veterans, we deliver comprehensive solutions essential to navigating SEC regulatory guidance.”
By aligning compliance protocols with operational strategies, STP clients have the advantage of comprehensive oversight across the entirety of their business, integrating compliance into their everyday operational and supervisory practices. This collaborative framework not only bolsters compliance practices, it creates overall efficiencies and instills trust among company stakeholders, ultimately leading to more effective, streamlined solutions. STP ComplianceAdvisor will be led by industry veterans, a team with over 20 years in professional securities compliance comprised of securities attorneys and former Chief Compliance Officers.
About STP Investment Services
STP Investment Services is an award-winning technology-enabled services company that provides middle, back-office, and compliance solutions to all types of investment advisers, including investment managers, hedge fund and private equity advisers, family offices, wealth managers, and asset owners. STP’s end-to-end investment operations, Blueprint technology, and expertise provide a partnership to clients that enables them to grow revenue while optimizing processes and improving productivity while protecting their business. STP provides a broad range of services for the financial services industry with capabilities to process all asset classes and meet ever-evolving business and regulatory requirements. With more than 250 employees around the world, STP services and provides solutions to clients representing more than $400 billion in assets serviced. Visit STP Investment Services and follow us on LinkedIn and Twitter.
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