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Delivering the best-in-class
governance, oversight & management of compliance risk
Ruleguard’s end-to-end GRC software platform has been designed to manage the complex and burdensome issues associated with regulatory compliance.
Join the world’s best-known banks, insurance companies, asset management firms and investment funds who trust Ruleguard to help manage their regulatory compliance.
Ruleguard has built-in functionality designed to help firms to identify regulatory changes and assess their impact on their operational processes, policies, risks, and controls. Users have access to a repository of regulatory content from multiple public and subscription sources.
Ruleguard users have access to a fully configurable incident and breach management solution to record, track, investigate and remedy any identified regulatory incidents/breaches and risk events and map them to the impacted rules, controls and operational processes.
Ruleguard can facilitate your planning for extreme scenarios, model your impact tolerances and identify investment gaps. Firms can collaborate with third parties to easily identify gaps for investment and automatically create a resilience self-assessment document for board review.
Policy & Document Management
Policy & Document Management solution helps enterprises to organise and manage policies/procedure documents centrally and facilitates collaboration between employees to ensure policies are up to date and have been acknowledged by the relevant parties
The platform has a suite of functional features designed primarily to enable CASS-regulated firms to evidence compliance with the requirements of the FCA’s Client Asset Sourcebook – including CASS rule mapping, Resolution Pack, ISEM, breach management and integrated tools for audit collaboration and oversight of transfer agents.
Service Organisation Assurance Audits
Ruleguard has an integrated solution designed to enable service organisations to document their internal controls, map these to applicable control objectives in compliance with any applicable standards or requirements (e.g. AAF, SOC, ISAE); and integrated workflow solutions to streamline information sharing with auditors
Ruleguard has an integrated solution to enable firms to track all identified risks and corresponding controls and mitigations across the enterprise. The solution has built-in features to help users to assess, quantify, remedy, report and streamline their risk management processes
At the core of the Ruleguard platform is a suite of functional features, user-defined workflows and questionnaires to help users to design compliance monitoring plans, test and report on the performance of controls and evaluate a firm’s overall compliance with applicable rules.
Ruleguard enables firms to administer and control evidence related to an event or multiple events. Firms can provide assurance relating to events with supporting evidence that can be tested by independent parties.
The Ruleguard platform facilitates the sharing of key data between firms via a secure gateway. Firms can share specific content, allocate & track tasks to completion whilst also establishing a full audit trail.
About Ruleguard
Be audit ready, anytime.
Ruleguard is an industry-leading software platform designed to help regulated firms manage the burden of evidencing and monitoring compliance. Find out more
Over 50 of the world’s best-known banks, insurance companies, asset management companies and investment funds trust Ruleguard to help manage their regulatory compliance. See our clients
Simplify Audit Preparations
Enhance Oversight
Integrate with Existing Systems
Simple-To-Use Analyics
Minimise Regulatory
Risk
Monitor in Real-Time
Ideal for Remote
Working
Reduce the Cost of Compliance
What our clients say about us
Thanks so much for all of the help and support you have provided in rolling out Ruleguard and also dealing with our queries in such an awesome manner.
I know our approach hasn't always aligned to make this as straightforward as possible but you have always been willing and open to our suggestions and working with us to come to a mutual agreement which we have found really great!
Santander
Ruleguard is highly collaborative and seamless and not only provides a high level controls mapping overview but also granular details for each controls, risks, processes and CASS rules. Reports can be easily viewed on the tool or extracted as an excel file.
The monitoring of clients’ controls framework has been very efficient since implementation and the team at Ruleguard are very solution oriented and always reply back promptly for any queries/issues.
FNZ
Ruleguard is a great tool that helps us keep on top of CASS compliance and the interactions with our Third Party Administrators.
The functionality within Ruleguard continues to grow enabling us to improve the quality of our CASS documentation, controls assurance, MI and oversight whilst remaining efficient and supporting the annual CASS audit.
Royal London
