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The Biggest Compliance Traps That You Don’t Even Know Are Happening at Your Firm
In today's regulatory environment, Chief Compliance Officers (CCOs) face significant challenges. 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.
This eBook, "The Biggest Compliance Traps That You Don’t Even Know Are Happening at Your Firm," explores the latest enforcement actions, outlines potential pitfalls, and provides practical, experience-based recommendations to keep your firm compliant.
Ready to tackle T+1 with ease?
Get Started by Downloading our eBook
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.
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.
The Confidence You Need and Expect From Compliance Professionals
Services to meet your requirements include:
- Support for Regulatory Filings
- Compliance Program Implementation
- Employee Training
- Compliance Committee Governance
- Ongoing Compliance Monitoring
- AML Compliance Assistance