Electronic Communications Surveillance Systems - Executive Summary

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

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Aug 04, 2022

Compliance faces the critical task of surveilling electronic communications to monitor employees' business conduct and mitigate risks of non-compliant behaviors. With today's distributed/hybrid workforce, compliance requires the right tools – and AI and analytics can help.

Compliance faces the critical task of surveilling electronic communications (eComms) to monitor employees' business conduct and mitigate risks of non-compliant behaviors such as insider trading and market manipulation. With today's distributed/hybrid workforce, compliance requires the right tools – and AI-powered systems and analytics can help. This report provides insights on how surveillance is performed, the challenges, and a review of the vendor landscape, with product summaries of eComms surveillance system vendors such as ACA Group, Bloomberg, Global Relay, NICE Actimize, Relativity, Smarsh, and SteelEye.

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