Modern Compliance in Investment Management

Compliance officers face increasing pressure to deliver effective and efficient compliance programs. Heightened expectations from clients and regulators, increased supervisory requirements in today’s hybrid/remote work environments, and constant regulatory changes all contribute to this pressure. Firms find themselves increasingly turning to technology to enhance their compliance program’s effectiveness and control costs.

The results of this Cutter Benchmarking survey will reveal how your compliance program stacks up against the Cutter Associates Capability Model and other participating firms.

This survey looks at the following categories:

Investment Guideline/Trading Compliance

Your firm's pre- and post-trade investment guideline process, insider trading, and trade blotter forensics

Regulatory Guidance and Advice

How your firm stays abreast of regulatory change and complying with regulatory reporting obligations

Managing Business Conduct

Your firm's surveillance efforts to detect financial crimes and non-compliant behavior versus your policies and procedures, including monitoring conflicts of interest and electronic communications

Compliance Program Management

Your firm's approach to policies and procedures, compliance risk assessments, and testing the effectiveness of your controls

Marketing Compliance

Your firm's efforts to produce compliant sales and marketing materials

What will you receive as a result of your participation?

Upon completion of the survey, all participants will receive a flash report that compares your firm’s compliance practices to Cutter’s capability model.

There is no charge to complete the survey and receive your flash report.

Cutter members that complete the survey will also receive a detailed and personalized report on how your firm compares to other firms in each of the capability areas.

Non-members will have the option to a purchase the full report. Want to learn more about becoming a member? Contact us at connect@cutterassociates.com.

Questions?

Please contact Beth LaGambina at blagambina@cutterassociates.com.