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Asset Management Compliance Solutions

Asset Management Compliance Solutions

Reduce regulatory reporting costs for asset managers

Regulatory change and increased scrutiny of compliance in asset management present major challenges for firms. With the increasing burden of regulatory reporting, asset managers are required to perform tasks that are repetitive and labour-intensive. They are under intense pressure to modernise their compliance operations to cope with the growing number of requirements, data sharing and reporting. Instead of creating reports manually, asset managers could focus their time on tasks with added-value benefits, particularly oversight and process improvement.

Using advanced automation, Ruleguard’s solution simplifies regulatory compliance for asset managers, significantly reducing the overhead for carrying out such activities. Ruleguard for Asset Management streamlines regulatory reporting, delivers best-in-class oversight, and reduces the risk of non-compliance.

Why Ruleguard for Asset Management?

Powerful Solution for CASS

Utilising Ruleguard’s powerful CASS resolution pack software, everything related to the firm’s client asset compliance can be kept in once place and is easily retrieved and demonstrated to the auditors and regulators. With Ruleguard’s solution for CASS, it helps to save money, improve accuracy, and reduce risk.


Streamline your Business

With attestations built into the platform and accurate MI dashboards, Ruleguard helps you consolidate your compliance documentation reliably in one place, offering you unparalleled control over data and increasing efficiency in the workflow.

Ruleguard can help you in the following ways:

  • Save time and money

  • Mitigate risks and achieve operational resilience

  • Take full control of your data

  • Build a comprehensive audit trail

  • Manage your end-to-end client asset compliance

  • Provide full transparency and accountability

Solutions for Asset Management

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CASS Compliance &
Audit Bolt On

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.  

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Operational Risk

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 

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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.

Learn how Ruleguard can help reduce costs, improve efficiency, and mitigate risk.


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