--- title: STP Blog | Compliance description: Compliance | The latest updates and insights from STP --- [![STP\_header\_logo](https://blog.stpis.com/hs-fs/hubfs/STP%20Growth%20Child/STP_header_logo.png?width=75&height=94&name=STP_header_logo.png "STP_header_logo")](http://stpis.com) - [FAQs](https://stpis.com/faqs-fund-administration-compliance-managed-services/) - [About](https://stpis.com/about/) - [About STP](https://stpis.com/about/) - [History](https://stpis.com/history/) - [Team](https://stpis.com/people/) - [STP Careers](https://stpis.com/careers/) - [STP Culture](https://stpis.com/careers/culture/) - [Benefits](https://stpis.com/careers/benefits/) - [Diversite, Equity, Inclusion & Belonging (DEIB)](https://stpis.com/careers/deib/) - [Hiring Process](https://stpis.com/careers/hiring-process/) [Portal Login](https://portal.stpis.com/) [Connect With Us](https://stpis.com/connect-with-us/) - [Who We Serve](https://stpis.com/who-we-serve/) - [Institutional Managers Investment operations services and innovative software for the front, middle, and back office.](https://stpis.com/who-we-serve/institutional-managers/) - [Wealth Managers Custom and turnkey asset management programs to grow assets and support clients.](https://stpis.com/who-we-serve/wealth-managers/) - [Emerging Managers Best-in-class full service solution to springboard your startup to the next level.](https://stpis.com/who-we-serve/emerging-managers/) - [Private Fund Advisors Comprehensive suite of fund administration, compliance, account and investor reporting services](https://stpis.com/who-we-serve/private-fund-advisors/) - [What We Do](https://stpis.com/services/) - [Investment Operations Outsourcing End-to-end investment operations and trading services.](https://stpis.com/services/investment-operations-outsourcing/) - [Fund Services Complete suite of services that deliver best-in-class fund administration.](https://stpis.com/services/fund-administration-services/) - [Compliance Services Get oversight that keeps you compliant and ready for changing regulatory requirements.](https://stpis.com/services/compliance/) - [Managed Services Designed to reduce operational burden, streamline workflows, and help you scale without adding headcount.](https://stpis.com/services/managed-services/) - [Trade Settlements Streamline processes, increase efficiency, and mitigate risk with post-trade settlement services.](https://stpis.com/services/trade-settlements/) - [Reconciliation Services Automate reconciliation tasks and strengthen oversight with reconciliation dashboards.](https://stpis.com/services/reconciliation/) - [BluePrint](https://stpis.com/blueprint/) - [Why STP](https://stpis.com/why-stp/) - [STP Knowledge Hub](https://stpis.com/stp-knowledge-hub/) - [Perspectives Fresh, original STP content written by members of our team, covering a broad range of topics.](https://blog.stpis.com/blog) - [STP in the News Our take on industry articles and topics written by our colleagues across the financial services space.](https://stpis.com/stp-knowledge-hub/in-the-news/) - [Case Studies Explore real-world success stories that highlight how we've helped clients overcome challenges, drive growth, and achieve their goals.](https://stpis.com/stp-knowledge-hub/case-studies/) - [Strategic Insights Stay ahead of regulatory changes, operational challenges, and industry shifts. Download our strategic insights to equip your firm with expert guidance on compliance, operations, and growth strategies.](https://stpis.com/stp-knowledge-hub/strategic-insights/) # STP Blog The latest updates and insights from STP Investment Services [![](https://blog.stpis.com/hubfs/shutterstock_2745673337.jpg)](https://blog.stpis.com/blog/brand-recognition-is-not-a-service-model) [Compliance](https://blog.stpis.com/blog/tag/compliance), [Fund Admin](https://blog.stpis.com/blog/tag/fund-admin), [Managed Services](https://blog.stpis.com/blog/tag/managed-services), [Wealth](https://blog.stpis.com/blog/tag/wealth), [Family Office](https://blog.stpis.com/blog/tag/family-office) ## [Brand Recognition Is Not a Service Model](https://blog.stpis.com/blog/brand-recognition-is-not-a-service-model) [STP Perspectives](https://blog.stpis.com/blog/author/stp-perspectives) Sep 2026 What our conversations at Future Proof revealed about service, scale and what wealth firms should ex... [Read more](https://blog.stpis.com/blog/brand-recognition-is-not-a-service-model) [![](https://blog.stpis.com/hubfs/shutterstock_1022439985-scaled.jpg)](https://blog.stpis.com/blog/sec-examinations-exhilarating-or-exhausting) [Compliance](https://blog.stpis.com/blog/tag/compliance) ## [SEC Examinations – Exhilarating or Exhausting?](https://blog.stpis.com/blog/sec-examinations-exhilarating-or-exhausting) [Deanna Hutchinson](https://blog.stpis.com/blog/author/deanna-hutchinson) Aug 2026 All SEC-registered investment advisers are subject to SEC examination authority and may be examined ... [Read more](https://blog.stpis.com/blog/sec-examinations-exhilarating-or-exhausting) [![](https://blog.stpis.com/hubfs/shutterstock_1329163259.jpg)](https://blog.stpis.com/blog/reg-s-p-deadline-has-come-and-gone-what-now) [Compliance](https://blog.stpis.com/blog/tag/compliance) ## [Reg S-P Deadline Has Come and Gone… What Now?](https://blog.stpis.com/blog/reg-s-p-deadline-has-come-and-gone-what-now) [Deanna Hutchinson](https://blog.stpis.com/blog/author/deanna-hutchinson) Aug 2026 Regulation S-P had two go-live dates: December 3, 2025, for firms over $1.5 billion and June 3, 2026... [Read more](https://blog.stpis.com/blog/reg-s-p-deadline-has-come-and-gone-what-now) [![](https://blog.stpis.com/hubfs/shutterstock_2787778369.jpg)](https://blog.stpis.com/blog/the-secs-proposed-regulation-e-delivery-could-reshape-how-firms-communicate-with-investors) [Compliance](https://blog.stpis.com/blog/tag/compliance) ## [The SEC's Proposed Regulation E-Delivery Could Reshape How Firms Communicate with Investors](https://blog.stpis.com/blog/the-secs-proposed-regulation-e-delivery-could-reshape-how-firms-communicate-with-investors) [Deanna Hutchinson](https://blog.stpis.com/blog/author/deanna-hutchinson) Jul 2026 SEC.gov | SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Usefu... [Read more](https://blog.stpis.com/blog/the-secs-proposed-regulation-e-delivery-could-reshape-how-firms-communicate-with-investors) [![](https://blog.stpis.com/hubfs/shutterstock_2293893219.jpg)](https://blog.stpis.com/blog/what-the-secs-2026-economic-conflicts-risk-alert-means-in-practice) [Compliance](https://blog.stpis.com/blog/tag/compliance) ## [What the SEC’s 2026 Economic Conflicts Risk Alert Means in Practice](https://blog.stpis.com/blog/what-the-secs-2026-economic-conflicts-risk-alert-means-in-practice) [Andrew Schuster, Guest Author](https://blog.stpis.com/blog/author/andrew-schuster-guest-author) Jul 2026 Insights on Operational Reality from a Former SEC Exam Manager When the SEC's Division of Examinatio... [Read more](https://blog.stpis.com/blog/what-the-secs-2026-economic-conflicts-risk-alert-means-in-practice) [![](https://blog.stpis.com/hubfs/Featured%20image.webp)](https://blog.stpis.com/blog/how-investment-managers-can-improve-compliance-checks-and-automate-financial-operations-workflows) [Compliance](https://blog.stpis.com/blog/tag/compliance) ## [How Investment Managers Can Improve Compliance Checks and Automate Financial Operations Workflows](https://blog.stpis.com/blog/how-investment-managers-can-improve-compliance-checks-and-automate-financial-operations-workflows) [Pat Conroy](https://blog.stpis.com/blog/author/pat-conroy) Jun 2026 Most firms buy automation to make a problem disappear. What they discover is that a good system does... [Read more](https://blog.stpis.com/blog/how-investment-managers-can-improve-compliance-checks-and-automate-financial-operations-workflows) [![](https://blog.stpis.com/hubfs/imgi_1_shutterstock_2461788555.png)](https://blog.stpis.com/blog/what-is-a-breakaway-broker-a-complete-guide-for-advisors-considering-independence-1) [Compliance](https://blog.stpis.com/blog/tag/compliance), [Wealth](https://blog.stpis.com/blog/tag/wealth) ## [What Is a Breakaway Broker? A Complete Guide for Advisors Considering Independence](https://blog.stpis.com/blog/what-is-a-breakaway-broker-a-complete-guide-for-advisors-considering-independence-1) [Sam Levine](https://blog.stpis.com/blog/author/sam-levine) Jun 2026 A breakaway broker is a financial advisor who leaves a traditional wirehouse or broker-dealer—firms ... [Read more](https://blog.stpis.com/blog/what-is-a-breakaway-broker-a-complete-guide-for-advisors-considering-independence-1) [![](https://blog.stpis.com/hubfs/imgi_20_shutterstock_547750285-scaled.png)](https://blog.stpis.com/blog/how-to-choose-a-fund-administration-service-with-strong-compliance-support-1) [Compliance](https://blog.stpis.com/blog/tag/compliance), [Fund Admin](https://blog.stpis.com/blog/tag/fund-admin) ## [How to Choose a Fund Administration Service with Strong Compliance Support](https://blog.stpis.com/blog/how-to-choose-a-fund-administration-service-with-strong-compliance-support-1) [David Goldstein, Director, Product – Fund Services](https://blog.stpis.com/blog/author/david-goldstein) May 2026 Choosing afund administrator is no longer simply a question of who can calculate NAV accurately and ... [Read more](https://blog.stpis.com/blog/how-to-choose-a-fund-administration-service-with-strong-compliance-support-1) [![](https://blog.stpis.com/hubfs/shutterstock_2339877535.jpg)](https://blog.stpis.com/blog/how-to-outsource-a-chief-compliance-officer-a-practical-guide-for-investment-advisers) [Compliance](https://blog.stpis.com/blog/tag/compliance) ## [How to Outsource a Chief Compliance Officer: A Practical Guide for Investment Advisers](https://blog.stpis.com/blog/how-to-outsource-a-chief-compliance-officer-a-practical-guide-for-investment-advisers) [Lori Weston](https://blog.stpis.com/blog/author/lori-weston) Apr 2026 For registered investment advisers, the decision to outsource a Chief Compliance Officer is not abou... [Read more](https://blog.stpis.com/blog/how-to-outsource-a-chief-compliance-officer-a-practical-guide-for-investment-advisers) [![](https://blog.stpis.com/hubfs/shutterstock_1329163259.jpg)](https://blog.stpis.com/blog/understanding-wrap-fee-programs-an-overview-for-investment-advisers) [Compliance](https://blog.stpis.com/blog/tag/compliance) ## [Understanding Wrap Fee Programs: An Overview for Investment Advisers](https://blog.stpis.com/blog/understanding-wrap-fee-programs-an-overview-for-investment-advisers) [Lisette Lopez](https://blog.stpis.com/blog/author/lisette-lopez) Apr 2026 Investment Advisers continue to offer wrap fee programs, but some of these advisers are unable to cl... [Read more](https://blog.stpis.com/blog/understanding-wrap-fee-programs-an-overview-for-investment-advisers) First Prev [1](https://blog.stpis.com/blog/tag/compliance) [2](https://blog.stpis.com/blog/tag/compliance/page/2) [3](https://blog.stpis.com/blog/tag/compliance/page/3) [4](https://blog.stpis.com/blog/tag/compliance/page/4) [Next](https://blog.stpis.com/blog/tag/compliance/page/2) [Last](https://blog.stpis.com/blog/tag/compliance/page/4) ## Looking to accelerate your company's growth and operating efficiency? 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