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Whilst you’re here, select from our range of platform solutions and click through to the relevant page for the problem you’re looking to solve.

grc-platform

Ruleguard is perfect for senior managers, risk managers, operations teams, and human resources teams too.

Whatever your role in the firm, our GRC platform handles the spadework and simplifies your workflow, saving you time, money, and countless headaches.

Compliance and risk management

Keep abreast of regulatory changes, manage policies, processes, and procedures, and build a solid framework to manage and mitigate critical risks.

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Employee compliance

Ensure your staff understand what's expected of them, hold them to high ethical standards, and manage breaches or complaints fairly and transparently.

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Consumer duty

Loyalty is increasingly at a premium. Give your clients a reason to stick around long term by showing them you're serious about putting their interests first.

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Compliance and risk management

Keep abreast of regulatory changes, manage policies, processes, and procedures, and build a solid framework to manage and mitigate critical risks.

regulatory_updates

Regulatory
Updates

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. 
policy-documents

Policy and 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.
operational-risk-management

Operational Risk Management

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.
incident-and-breach-mng

Incident and Breach Management

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.
cass-compliance

Client Assets Compliance and Audit

The platform has a suite of functional features designed primarily to enable client assets regulated firms to evidence compliance with the requirements of the FCA’s Client Asset Sourcebook – including client assets rule mapping, CASS Resolution Pack, ISEM, breach management  and integrated tools for audit collaboration and oversight of transfer agents.  
compliance-monitoring

Compliance
Monitoring

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. 
Operational Resilience

Operational
Resilience

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.
Service Organisation Assurance Audits

Service Organisation Assurance

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.
Evidence Management and Task Lists

Evidence Management and Task Lists

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.
Client Assurance Portal

Client Assurance
Portal

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.

Employee Compliance

Ensure your staff understand what's expected of them, hold them to high ethical standards, and manage breaches or complaints fairly and transparently.

Accountability Regime

Accountability Regimes

A fully configurable solution designed to streamline compliance with the requirements of the international accountability regimes including Senior Managers & Certification Regime and SEAR. Requirements supported include: fitness & propriety and T&C assessments, certification, MRMs, SORs and individual conduct breaches.
Personal Account Dealing

Personal Account Dealing

The Personal Account Dealing module is a fully configurable workflow solution designed to provide compliance officers with a comprehensive, integrated and auditable view of all employee trading/dealing activity. 
Gifts and Hospitality

Gifts and Hospitality

The module is designed to automate, streamline and simplify the gifts and hospitality submission, review and approval process and enables compliance departments to monitor and mitigate against any risk of misconduct and drive a culture of compliance across the enterprise.
Conflicts of Interest

Conflicts of Interest

An automated, structured software solution designed to help regulated firms to manage employee disclosures, increase transparency  and mitigate the risk of conflicts across the enterprise. 
Employee Attestations

Employee Attestations

The Employee Attestation module works in conjunction with Ruleguard’s Policy Management module to enable firms to increase policy participation, obtain employee attestation to key policies and embed a culture of compliance. 

Consumer duty

Loyalty is increasingly at a premium. Give your clients a reason to stick around long term by showing them you're serious about putting their interests first.

Product Governance

Product Governance

A fully configurable workflow, collaboration and document management repository to govern and monitor the lifecycle of financial products – from initial design, approval to distribution/marketing to ensure compliance with the FCA’s product governance rules. 
Complaints Management

Complaints Management

The Ruleguard Complaints Handling platform is a configurable workflow solution designed to manage the requirements of the entire complaints life-cycle from initial receipt/identification of complaint, assessment, investigation, escalation through remediation and reporting. 
Client File Reviews

Client File Reviews

An end-to-end technology solution to streamline the assessment and grading of client files against relevant FCA principles in response to the Consumer Duty Outcomes: Products and Services, Consumer Understanding, Consumer Support and Price and Value.
Financial Promotions

Financial Promotions

A dedicated solution to streamline collaboration between product, marketing and compliance teams in the creation, review and approval of compliant promotional and marketing materials. 
Supplier Oversight

Supplier Oversight

Ruleguard’s integrated solution enables distributors (advisers) to automate the process of investigating and conducting due diligence reviews  on product manufacturers (investment platforms) to “avoid foreseeable harm to  retail customers in compliance with the cross-cutting rules".
Appointed Reps Oversight

Appointed Reps Oversight

In compliance with the FCA’s enhanced AR due diligence requirements, Ruleguard have developed a suite of functional features to assist principal firms in monitoring risks presented by the activities of their appointed representatives including annual compliance & self assessments. 
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How our platform works

See Ruleguard’s overarching benefits and learn about how the platform works.

Meet the people behind the platform

Want to know what it’s like to work with us? Find out about Ruleguard’s origin, meet the team and hear from our clients.

RULEGUARD INSIGHTS

Browse our latest insights

We’re experts in governance, risk and compliance and we love
sharing our knowledge and expertise. Check out our latest insights!

Signing off financial promotions with finesse

The UK’s financial promotions regime saw some significant changes in the past year, including the introduction of a regulatory gateway for approvers of third-party financial promotions. The emphasis on financial promotions isn’t new. In recent years, we’ve seen the...

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Navigating the AI Frontier: A Regulatory Journey

“Depending on who you speak to, AI could either lead to the destruction of civilisation, or the cure for cancer or both. It could either displace today’s jobs or enable an explosion in future productivity. The truth probably embraces both scenarios. At the FCA we are...

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Is SM&CR working?

The SM&CR review was announced as part of the Edinburgh reforms towards the end of 2022, with HM Treasury indicating that “ some stakeholders have raised concerns about their experiences of specific aspects of the regime .” Consequently, the government is assessing...

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