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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
WhitepaperOperational Resilience: Adapt, Respond & Recover
WhitepaperBest Practice in Third Party Risk Management
WhitepaperGuide to the FCA’s Strategy
The UK’s Pension Schemes Act 2017 and Occupational Pension Schemes (Master Trusts) Regulations 2018 introduced the concept of a master trust. Under the legislation, firms had to identify whether their pension scheme fell within the definition. Where this was the case,...
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The purpose of the Client Assets Sourcebook (CASS) is to ensure that client money and assets are always protected. Importantly, all money and assets held for a client can be returned promptly, particularly if the firm should fail. Following the failure of investment...
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In 2020 the FCA issued three Dear CEO letters. The letters were a reminder to firms of the obligations relating to client assets and client money. FCA reminded firms of the importance of maintaining adequate measures to protect client money and assets in the current...
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Corporate Governance isn’t just about who sits on your board and how often the board meets. It’s about the systems and controls as well as the standards set within a firm. It’s about ensuring that the firm creates the right culture with effective controls and good...
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In 2002, the USA implemented the Sarbanes Oxley Act (SOX). It caused quite a stir at the time due to the time and effort required to make changes to comply with it. Some felt that it was too onerous. Others felt it was an overreaction to some large corporate failures....
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Since the financial crisis of 2008 regulators worldwide have been introducing reforms to improve individual accountability within firms. Regulators were criticised for their lack of action and not preventing the crisis. Further criticism was aimed at firms’ failings...
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A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always the same individuals recording all the issues? Has the log remained untouched for several months? Are the identified issues...
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All regulated firms are obliged to conduct compliance monitoring. The compliance function is required to monitor and test compliance by performing sufficient and representative compliance testing. Then the results are reported up through the compliance reporting line...
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We’re all aware that operational resilience requires an holistic view of a firm’s operations. The Financial Services industry operates globally and requires a coordinated effort to establish a resilient framework. Current work to improve resilience focuses on being...
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Updated on: 24th August 2022 On this page, you will find details of Ruleguard's data sub-processors. New sub-processors are added to this list if they meet our strict criteria, and after we have completed extensive due diligence upon them. NB: Ruleguard does not share...
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From August, we're inviting everyone to try out a new look and feel for the Ruleguard platform. When you log in for the first time after our 'Ruleguard' switchover, you'll see a notification asking you if you'd like to trial the new experience. Clicking Switch now will...
Read MoreDear Axiom Users, Scheduled weekend maintenance We will be performing maintenance on the Axiom system over the between 9am on Saturday and 5pm on Sunday. During this time the system will not be accessible. Attestation emails will still be generated and sent out over...
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