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Accountability: Satisfying global standards
WEBINARControl 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
White paperOperational Resilience: Adapt, Respond & Recover
White paperBest Practice in Third Party Risk Management
White paperGuide to the FCA’s Strategy
As 2019 begins, I would like to take the time to reflect on the journey we have taken thus far and briefly share our plans for the year. I shall begin by thanking each of our clients who have been part of the Ruleguard journey, sharing their feedback and inspiring and...
Read MoreHappy New Year! I always enjoy writing an annual review at this time of year. I’m surprised how quickly a year passes yet amazed how much our team and clients have achieved in what can seem like such a brief period! 2019 – growth and vision Ruleguard has certainly had...
Read MoreImplementation of the Senior Managers and Certification Regime is currently underway and may well have an impact on your firm’s existing CASS arrangements. This is because the FCA, as part of the SM&CR rules, has introduced a new Prescribed Responsibility for firms...
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With the unprecedented levels of support coming from government to numerous business sectors to mitigate the impact of the COVID-19, Senior Managers at CASS firms could have been forgiven for looking eagerly to the FCA’s responses last month about COVID-related...
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Since the introduction of the Senior Managers and Certification Regime (SM&CR), it has been interesting to see how and where firms have allocated most of their resources to comply with the new rules. Implementation tends to follow one of two strategic approaches:...
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In light of the turbulence caused by the Covid-19 pandemic, SMCR may have been pushed down the priority list for most firms for now. The disruption has however given rise to a number of practical and compliance challenges which have a direct and imminent impact on...
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