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risk management
Regulatory 
Client Assets 
Policy and Document 
Compliance 
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Operational 
Evidence Management 
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Client 
Incident and Breach
Employee
compliance
Accountability 
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Gifts and 
Conflicts 
Employee
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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 Client Assets compliance solution provides an electronic feed of CASS rules, directly from the regulators, to ensure firms are always equipped with the latest version of the rules.
Never miss a beat
Ruleguard’s electronic feed of client assets rules comes directly from the regulators into a single central repository, so firms are always up-to-date with the latest version and can maintain continuous compliance.
Streamlined compliance mapping and automation
Firms can evidence line-by-line compliance with the applicable client asset regime. We make it easy to map processes, risks and controls to rules and automate assurance activities using attestations, task lists, and workflows.
Seamless collaboration
Facilitate effortless communication between your teams and auditors. Ruleguard centralises documentation and evidence, making it readily accessible, reducing back-and-forth and enhancing auditor satisfaction.
Insightful control assessments
Gain a comprehensive view of your internal controls with Ruleguard. Assess effectiveness, pinpoint vulnerabilities, and implement improvements with precision, ensuring robust financial health and regulatory compliance.
Reduce CASS risk
Automate your audit workflows within the Ruleguard platform, from specifying controls for testing to configuring custom workflows for different audit types, saving significant time and resources.
Enhanced transparency
Achieve unparalleled oversight with Ruleguard's audit trail capabilities. Document and store every audit step, providing ongoing evidence of diligent oversight and thorough review, all within a single platform.
Empower your firm with Ruleguard’s Client Assets compliance and audit solution, where efficiency meets compliance. Our platform makes the production and updating of compliance documents a breeze, ensuring documents including the UK CASS 10 Resolution Packs, are automatically generated with a single click.
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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, CAR, SCAF, ISEM, breach management and integrated tools for audit collaboration and oversight of transfer agents.
