INVESTMENT ADVISORY COMPLIANCE
Financial Services Compliance Built for Complex Fund Structures
STP delivers expert financial services compliance services to help investment advisors, wealth managers, and other financial firms stay audit-ready, reduce risk, and free internal teams from compliance burdens.
Whether you handle it in-house or need a new outsourced partner, we provide the experience, technology, and responsiveness you need.
Approach Compliance with Confidence. Book a Meeting.
Overwhelmed by Constant Regulatory Changes & Compliance Deadlines?
Our outsourced financial compliance services keep your firm ahead of evolving financial compliance regulations, so you can focus on client relationships and growth. From annual testing to regulatory filings, we deliver proactive oversight and guidance for every stage of your compliance program.
Form ADV &
Form PF
Form 13
Filings
Performance Advertising Disclosures
Compliance
Policies
Exams & Compliance Reviews
Outsourced Compliance Functions
STP’s Compliance Experts Help You Fulfill Your Regulatory Obligations
Registration & Filing Solutions for New & Emerging Managers
- SEC Registration: We support firms managing over $110 million by preparing Form ADV Parts 1 & 2, providing compliance guidance under the Investment Advisers Act of 1940, and delivering ongoing support for updates and regulatory changes.
- State Registration: We assist smaller or geographically limited firms with state-specific filing requirements, including Form ADV preparation and tailored guidance to navigate varied state regulations.
- Exempt Reporting Advisers (ERA): We help firms that qualify as ERAs determine their eligibility, complete the required limited Form ADV filings accurately, and maintain ongoing compliance by reporting significant changes as needed.
Compliance Programs for Registered Investment Advisors
- ComplianceAdvisor PRO: Covers essential services such as regulatory filings, the creation of a compliance manual, risk assessments, and a compliance calendar.
- ComplianceAdvisor PLUS: Offers monthly advisory check-ins, guidance to help firms stay ahead of regulatory changes, regulatory exam support, and unlimited consulting.
- ComplianceAdvisor PRIME: Offers outsourced compliance functions, including personal trade reviews and electronic communications reviews. This program also includes the option to fully outsource the Chief Compliance Officer (CCO) role.
Compliance Reviews, Exams, &
Assessments
Annual Compliance Review (Rule 206(4)-7)
- Policy and Procedure Assessment
- Testing and Monitoring
- Compliance Issues Identification
- Review of Regulatory Changes
- Documentation
SEC Mock Exams
- Organizational Understanding
- Document Requests
- Simulated Interviews
- Compliance Review
- Expert Feedback
The Biggest Compliance Traps That You Don’t Even Know Are Happening at Your Firm
This guide explores the latest enforcement actions, outlines potential pitfalls, and provides practical, experience-based recommendations to keep your firm compliant.
BENEFITS OF OUTSOURCING
Expert Compliance Support Without the In-House Overhead
State or SEC Registration
Navigate state and SEC registration requirements with expert guidance to ensure your investment advisory compliance program starts strong and stays compliant.
Ongoing Compliance Consulting
Access continuous financial services compliance consulting to address evolving regulations and keep your firm audit-ready year-round.
Exams (Annual Compliance Reviews or Mock Exams)
Prepare with confidence through annual compliance testing and mock exams that identify and resolve gaps before regulators do.
Risk Assessments
Proactively mitigate exposure with targeted financial compliance risk assessments tailored to your firm’s structure and operations.
Regulatory Filings
Streamline financial compliance regulations filings to ensure timely, accurate submissions with minimal disruption to your daily operations.
Deputy Chief Compliance Officer
Gain senior-level expertise with outsourced compliance consultants who can serve as your Deputy CCO for strategic oversight and execution.
PERSPECTIVES
From Risk to Readiness: Compliance Insights That Drive Confidence
In today’s regulatory environment, firms can’t afford to “wait and see” when it comes to compliance.
Establishing your own practice can be lucrative and extremely rewarding. If you’re serious about taking the leap, protect what you’re building by doing things right the first time.
Outsourced Compliance: A Strategic Response to Regulatory Strain
Learn how firms are reducing compliance strain and improving exam readiness by outsourcing key responsibilities to expert partners.
