Incident and Breach Management Software

Raise and manage compliance incidents & breaches through the complete analysis and root cause life cycle for audit preparation

Managing incidents and regulatory breaches is an increasing burden for most compliance functions within the financial service sector. Changes to audit standards and increased scrutiny from the ever-widening scope of regulation have passed on enormous evidential burden to regulated firms. It is paramount for firms to establish proper governance arrangements to identify, manage, monitor, and report any risk incidents.

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Solution Features

Ruleguard’s Incident and Breach solution addresses the challenges related to managing incidents and breaches manually. Key features include the ability to:

Create incidents and breaches as part of the Ruleguard attestation workflow or standalone items within the system
Enter details such as discovery, reporting and resolution dates along with a full description of each item. Where a rule has been broken, breaches can be specifically identified
Link breaches directly to the relevant regulation through Ruleguard’s powerful rules-mapping system
Link breaches to your risks, controls, and business processes, and Ruleguard will suggest relationships where your mapping information finds suitable connections
Have complete oversight of the breach process with Ruleguard’s detailed MI and reporting features
Report on breaches in a timely manner and organise data according to your needs with Ruleguard’s rich relationship mapping feature
Facilitate and create a firm-wide incidents and breaches log