REGULATORY COMPLIANCE
Are Your Regulatory Filings Accurate, Timely, and Audit-Ready?
STP’s financial services regulatory consultants help investment firms, wealth managers, and private fund advisors stay ahead of evolving requirements.
From complex regulatory filings to ongoing oversight, we deliver the expertise, technology, and scalability to keep you compliant without draining internal resources.
Approach Compliance with Confidence. Book a Meeting.
Tired of Managing Ever-Changing Filing Requirements & Regulatory Deadlines?
Our team of experienced financial services regulatory consultants manages the complexity of your compliance calendar—ensuring your regulatory filings are accurate, complete, and submitted on time. We work as an extension of your compliance team, reducing risk and freeing you to focus on client service and growth.
Regulatory
Filings
Regulatory Change Monitoring
Filing Calendar Management
Audit & Exam
Support
Form ADV, 13F & Other Reports
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.
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
Insights to Help You Navigate Complex Regulatory Requirements
A breakaway broker is a financial advisor who leaves a traditional wirehouse or broker-dealer—firms like Merrill Lynch, Morgan Stanley, UBS, or Wells Fargo—to launch or join an independent Registered Investment...
Choosing afund administrator is no longer simply a question of who can calculate NAV accurately and on time. For fund managers operating in today's regulatory environment, the compliance capabilities of...
For registered investment advisers, the decision to outsource a Chief Compliance Officer is not about convenience; it is about building a sustainable compliance program. The most successful outsourced compliance engagements...
Mock SEC Exam Timeline: What to Expect From Start to Finish
A detailed, step-by-step guide to help you understand how a third-party mock exam works, and why it’s smart risk management.
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