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.

Related Resources

Compliance Experts

Shankar Subramanian

Consulting Principal – Public Funds and Compliance

Shankar Subramanian has over 25 years of industry experience in investment management and technology solutions. Shankar has a deep understanding of investment data management, portfolio management, risk management, investment accounting, and alternative investments. At Cutter Associates, he heads the Risk and Compliance practice, helping client with investment risk management, and asset allocation, as well as providing support for compliance with consulting on trading forensics, communication surveillance, regulatory reporting, and guideline compliance. He advises on, and designs, operating models, selects systems, and implements business and technology solutions. He also leads development of Cutter’s alternative investments practices and the firm’s efforts to provide thought leadership and strategic and tactical advice to asset owner clients.

Prior to joining Cutter, Shankar held senior roles at IBM Global Services and PricewaterhouseCoopers (PwC), advising clients and leading global delivery teams in large engagements. Shankar holds a Bachelor of Science in engineering from the Indian Institute of Technology and an MBA in finance and information systems from the Indian Institute of Management.

Stacia Graham

Managing Director and Asset Management Lead

Stacia Graham has more than 20 years of experience in investment management, bringing a deep understanding of end-to-end asset management processing and project management to her role as Managing Director at Cutter Research. Prior to Cutter, Stacia worked at Wellington Management Company LLP in Boston in various roles within compliance and operational risk, including leading and managing the global Investment Guideline Compliance team for eight years. She earned a bachelor of science in business administration from Bryant University and an MBA from Bentley University.

Recent research assignments and publications include the following:

All-In-One or Standalone Solutions? Finding the Right Technology Strategy
Asset Allocation Solutions
Governance, Risk, and Compliance (GRC) Systems
Performance Measurement and Attribution Systems
Rethinking Research Management
Robotic Process Automation (RPA)
The Future of Work in Investment Management

Risk & Compliance