--- title: Audits - Compliance | STPIS --- [![STP_Logo_Color_White](https://info.stpis.com/hubfs/STP_Logo_Color_White.svg "STP_Logo_Color_White")](http://stpis.com) #### **MOCK AUDITS COMPLIANCE** # A Better Solution for Your Compliance Challenges Let’s face it. Meeting your regulatory obligations isn’t getting easier. In fact, compliance requirements for investment advisors are likely to become even more burdensome, especially when it comes to mock audits. This is why many advisors are turning to outsourced solutions. If you are considering services for mock audits, we invite you to start your discovery process by exploring STP’s broad range of finance and compliance solutions, which we are confident can address any or all of your regulatory requirements. Simply complete this form to schedule a meeting with our team today. #### Ready to tackle T+1 with ease? ### Approach Compliance with Confidence. Book a Meeting. ### Not Every Outsourced Compliance Services Provider is the Same It should come as no surprise that financial services regulatory and compliance consultants vary in size, structure, and by the services they offer. So when evaluating different providers, it’s essential you consider only those firms with the depth of experience, proven track record, and comprehensive services to meet your specific needs for mock audits. ![Under-shadow](https://info.stpis.com/hubfs/Under-shadow.png "Under-shadow")                       #### FINANCIAL SERVICES COMPLIANCE SERVICES ## A Tailored Approach To Meet Every Potential Requirement While every firm is bound to meet regulatory requirements, not everyone requests the same level of support, which is why we can create a customized plan to support your firm. Our solutions include: - **State or SEC Registration** - **Ongoing Compliance Consulting** - **Exams (Annual Compliance Reviews or Mock Exams)** - **Risk Assessments** - **Customized Compliance Manuals** - **Regulatory Filings** - **Deputy Chief Compliance Officer** Where should you start in your discovery process? Since you are already here, we suggest you begin with our team at STP Investment Services.  #### EXCLUSIVE eBook ### The Biggest Compliance Traps You Don't Even Know Are Happening at Your Firm From AI adoption to off-channel communications and the complexities of the new Marketing Rule, the risks are real and the costs of non-compliance are steep. [![DOWNLOAD HERE](https://no-cache.hubspot.com/cta/default/20095280/3199aa7f-3a61-42db-82e2-7fc4fa302411.png)](https://cta-redirect.hubspot.com/cta/redirect/20095280/3199aa7f-3a61-42db-82e2-7fc4fa302411) ![42213 STPIS ebook - Consideration - MOFU _The Biggest Compliance..._ beauty shot 1](https://info.stpis.com/hs-fs/hubfs/Content%20Offers/The%20Biggest%20Compliance%20Traps%20That%20You%20Don%E2%80%99t%20Even%20Know%20Are%20Happening%20at%20Your%20Firm/beautyshots/42213%20STPIS%20ebook%20-%20Consideration%20-%20MOFU%20_The%20Biggest%20Compliance..._%20beauty%20shot%201.png?width=1080&height=1080&name=42213%20STPIS%20ebook%20-%20Consideration%20-%20MOFU%20_The%20Biggest%20Compliance..._%20beauty%20shot%201.png) #### WHAT STP OFFERS YOUR FIRM ![orange-line](https://info.stpis.com/hubfs/orange-line.png "orange-line") ## The Confidence You Need and Expect From a Provider Services to meet your requirements include: - **Support for Regulatory Filings** - **Compliance Program Implementation** - **Employee Training** - **Compliance Committee Governance** - **Ongoing Compliance Monitoring** - **AML Compliance Assistance** [SCHEDULE A CONSULTATION](https://info.stpis.com/compliance-audit-ppc#T1_header) Copyright © 2026 STP Investment Services. All Rights Reserved.   44 W. Gay Street Suite 300 West Chester, PA 19380 +1.610.363.5684