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Ruleguard’s regulatory insights & resources

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Blogs

monitoring | Peruse our blogs for the latest, fresh perspective on navigating the maze of global regulations and upcoming milestones. This is your shortcut to staying ahead, packed with insights and expert tips from the forefront of GRC innovation.

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Navigating the AI Frontier: A Regulatory Journey

Navigating the AI Frontier: A Regulatory Journey

“Depending on who you speak to, AI could either lead to the destruction of civilisation, or the cure for cancer or both. It could either displace today’s jobs or enable an explosion in future productivity. The truth probably embraces both scenarios. At the FCA we are...

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Why Managing Conflicts should still be on your agenda!

Why Managing Conflicts should still be on your agenda!

Conflicts of interest is a subject matter that should be relatively easy to understand and as such, straightforward when it comes to compliance. Why then do we hear of senior managers who have failed to declare a potential conflict or to recuse themselves from related...

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Dawning of a tougher Appointed Representatives Regime

Dawning of a tougher Appointed Representatives Regime

The Appointed Representative Regime (the Regime) was introduced in 1986 initially for investment services. With the introduction of the Financial Services and Markets Act 2000 (FMSA), the Regime’s scope was broadened. The aim of the Regime has always been to provide a...

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Trustees: The September deadline is looming. Are you ready?

Trustees: The September deadline is looming. Are you ready?

From the 1 September 2022, most trusts will need to be registered with HMRC. There are a few exceptions. This follows a 12-month transition period. What’s changing and why? Back in 2017, you may recall that the UK set up the Trust Registration Service (TRS) to fulfil...

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Prevent bribery occurring on your watch

Prevent bribery occurring on your watch

The Bribery Act 2010 updated former outdated legislation. The Act explains bribery & sets out various offences under the Act: Being bribed Bribing foreign public officials Failing to prevent bribery Making facilitation payments The Act defines Bribery as an act...

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Assertive FCA issues Business Plan & Strategy

Assertive FCA issues Business Plan & Strategy

It’s that time again! This year the FCA has issued a Strategy Document for the next three years to accompany its Business plan for 2022-23. This will be followed shortly by publication of its Data Strategy. Last year the FCA focused on becoming "more innovative, more...

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How well do you know your Appointed Representatives?

How well do you know your Appointed Representatives?

In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The FCA is looking to reduce harm to consumers by strengthening the appointed representatives regime. From its thematic reviews of...

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Tips to Create Risk Ownership within your firm

Tips to Create Risk Ownership within your firm

One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But how do we encourage our staff to take responsibility and raise issues appropriately? Good risk management brings many benefits to...

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How to Demonstrate Good Governance

How to Demonstrate Good Governance

How well can your firm demonstrate effective systems and controls? 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...

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Tips for Effective Compliance Monitoring

Tips for Effective Compliance Monitoring

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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Operational Resilience: Why Setting International Standards is Crucial

Operational Resilience: Why Setting International Standards is Crucial

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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Creating Resilient Payment Services

Creating Resilient Payment Services

This was the view of the Payment Systems Regulator (PSR) back in 2015 when the PSR was still relatively new. Six years later and it’s fair to say that payments systems are even more critical today. It’s a message echoed by the Bank of England (BoE) and evidenced by the...

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