Trading Compliance

Maintaining strong pre- and post-trade investment guidelines compliance, trade forensics, and MNPI/restrictions are at the core of investment management compliance. We can help.

Program Management

Establishing policies and procedures, risk assessment testing and monitoring, training/education, and strong oversight are critical to meet global accountability requirements.

Business Conduct

Using the right technology to manage conflict-of-interest situations (personal trading activity/reporting, eComm surveillance, etc.) sets your moral compass and puts your clients first.

Regulatory Guidance

Preparing for new and changing regulations and how they pertain to your various business activities can be daunting. Partner with us to anticipate the impact to resources, processes, and regulatory reporting.

Areas of Expertise

We guide you in building and upholding the core compliance pillars.

Capitalize On Our Expertise

  • Cutter brings unique and unmatched depth of investment management experience and compliance domain expertise.
  • Our team includes compliance professionals, who have intimate knowledge of, and hands-on experience with, the issues you face and the trends shaping the industry.
  • We help you optimize your compliance function and ensure you have the right people, processes, technology, and data in place to run an effective compliance function and keep pace with regulatory change.
  • We conduct strategic reviews of compliance functions, assist with compliance system search and selection, as well as system implementation.
  • As both a research and consulting firm, Cutter has access to the perspectives and challenges of 200+ member and client firms around the world, and research on the latest compliance technologies and best practices.

Compliance Experts

Shankar Subramanian

Consulting Principal – Public Funds and Compliance

Stacia Graham

Managing Director and Asset Management Lead

Whether developing operational strategies that drive meaningful value, or evaluating, selecting, and implementing systems, Cutter is here to help.