WEST CHESTER, PA — STP Investment Services has introduced STP ComplianceAdvisor, a new compliance services practice aimed at helping clients manage complex regulatory landscapes. This initiative comes in response to growing demand from clients who need comprehensive compliance strategies to meet evolving regulations.
STP ComplianceAdvisor offers a range of services designed to streamline regulatory processes for its clients. These include interpreting regulations specific to a firm’s operations, crafting tailored compliance policies, and training personnel on compliance obligations. Additionally, the practice assists with regulatory filings such as Forms ADV, CRS, and others, alongside conducting annual compliance reviews and mock regulatory examinations. The service also supports new investment adviser registration and offers reviews of marketing materials and electronic communications.
Dan Houlihan, CEO of STP Investment Services, emphasized the importance of this new practice in enhancing client relationships by reducing the need for multiple compliance vendors. “Our multidisciplinary approach promotes stronger client relationships and enables us to be a proactive partner in the operating, reporting, and compliance solutions we provide to our clients,” he stated. The practice is led by industry veterans and aims to leverage STP’s operational expertise to offer essential compliance solutions aligned with SEC regulations.
This launch follows the introduction of BluePrint, STP’s cloud-native solution that integrates data across various platforms, highlighting the company’s commitment to providing holistic solutions. STP ComplianceAdvisor is set to play a crucial role in helping investment firms navigate regulatory challenges more efficiently, allowing them to focus on their core business activities.
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