Compliance advisor logo white

DOWNLOAD OUR GUIDE FOR REGISTERED INVESTMENT ADVISORS

Regulation S‑P Compliance Checklist 

The SEC’s amended Regulation S‑P shifts data protection from a disclosure exercise to an operational compliance function. Safeguarding client information now requires documented programs, defined response protocols, and ongoing oversight. Use this checklist to assess readiness across the five areas examiners are focused on today. 
 
 

Ready to tackle T+1 with ease?

Fill out the form to access your overview

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.

Under-shadow
imgi_4_shutterstock_633364922-scaled

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. 

ComplianceAdvisor provides industry-leading compliance advice and support to investment advisors of all types and sizes. From registration to developing a customized compliance program, our experienced consultants provide hands-on, one-on-one support every step of the way. 

logo ca
Download the Checklist

Copyright © 2026 STP Investment Services. All Rights Reserved.  

44 W. Gay Street
Suite 300
West Chester, PA 19380
+1.610.363.5684