
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