Supervisory systems
Design practical WSPs, SOPs, controls, testing routines and escalation paths.
All Industries
Broker-Dealers & RIAsBuilt around the full trade lifecycle
Cuttone TAC brings direct operating experience to supervision, trading, reporting, financial controls and the technology that connects them.
Regulation translated into accountable work
Broker-dealers and investment advisers manage distinct regulatory duties across SEC, FINRA, state and self-regulatory frameworks. CFTC and NFA obligations add further complexity for firms with derivatives or commodity interests, while dual registrants must make responsibilities clear across overlapping programs.
Our team has worked inside the functions we advise. We help firms connect written policies to daily execution, surveillance, exception management, books and records, financial responsibility and regulatory reporting.
Keeping supervisory procedures aligned with current business activities and control ownership
Managing CAT, CAIS, TRACE and other reporting workflows with complete audit evidence
Testing best execution, surveillance and post-trade exception processes
Coordinating compliance, operations, finance and technology during examinations
Senior expertise connected to execution
Trading and brokerage
Review execution, routing, clearing, settlement, reconciliation and exposure controls.
Financial responsibility
Support FINOP functions, net capital processes, reserve calculations and financial controls.
Regulatory technology
Improve reporting, surveillance, workflow automation, telemetry and data governance.
Work with people who know the operation
Bring us the supervisory, trading or control issue that needs senior attention and practical execution.
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