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Compliance and
risk management
Regulatory 
Client Assets 
Policy and Document 
Compliance 
Operational Risk 
Operational 
Evidence Management 
Service Organisation 
Client 
Incident and Breach
Employee
compliance
Accountability 
Personal 
Gifts and 
Conflicts 
Employee
Consumer
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Insights
Control Your Conflicts: Strategies for Transparency & Integrity
WEBINARBeyond Compliance: Elevating Governance and Managing Risks Effectively
WEBINARNavigating Disruption: Building Operational Resilience in Today's World
WEBINARBeyond the Checklist: Unveiling the True Essence of Consumer Duty
WhitepaperOperational Resilience: Adapt, Respond & Recover
WhitepaperBest Practice in Third Party Risk Management
WhitepaperGuide to the FCA’s Strategy
WhitepaperSM&CR: Enhancing Ethics, Accountability & Culture
Ruleguard’s Accountability Regime software enables you to easily define and assign top-level management responsibilities within your firm, ensuring clarity and adherence to global financial standards like the UK's SM&CR, Ireland’s SEAR and Australia's FAR.
The comprehensive Accountability Regime solution, part of Ruleguard GRC software, helps you meet the requirements of various accountability responsibilities and remain compliant.
Streamlined processes
Automate the identification of key roles, maintain up-to-date records of responsibilities, and ensure ongoing fitness and propriety assessments with minimal hassle.
Transparent governance
Promote a culture of transparency and responsibility, embedding ethical conduct and professional integrity at the core of your operations.
Comprehensive oversight
Gain detailed insights and oversight of assigned responsibilities and regulatory compliance, supporting executive management in maintaining a robust governance framework.
Ruleguard helps you centralise and automate compliance processes to meet the requirements of individual accountability regimes, reducing manual work and minimising regulatory risk.
Customise your organisation chart within Ruleguard, to accurately reflect reporting lines and responsibilities, capturing matrix reporting across multiple entities and jurisdictions.
Leverage automated workflows for suitability assessments, significantly reducing the administrative burden and ensuring continuous compliance.
Ruleguard adapts to your firm's unique structure, offering import options for staff data and customisable workflows to meet specific regulatory requirements.
See how Ruleguard’s intuitive platform simplifies the complexity of compliance, enabling you to assure your Board and Stakeholders in an effortless way.
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A fully configurable solution designed to streamline compliance with the requirements of the international accountability regimes including: Senior Managers and Certification Regime (SM&CR) in the UK, Senior Executive Accountability Regime (SEAR) in Ireland, Individual Accountability and Conduct (IAC) in Singapore, Manager in Charge (MIC) in Hong Kong, Financial Accountability Regime (FAR) in Australia.
Requirements supported include: fitness & propriety and T&C assessments, certification, MRMs, SORs and individual conduct breaches.
