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    Home > Insights > Case Studies > CASS,  investment management,  case study

    How a UK Investment Manager Built a Compliance Framework That Actually Works

    CASE STUDY

    As regulatory expectations rise, investment management firms need stronger control over compliance, CASS oversight, policy governance and supplier risk.
     
    This investment management case study shows how a UK regulated firm replaced manual, disconnected processes with a scalable compliance framework that improved audit readiness, increased evidence visibility and strengthened governance across key operational workflows.

    The Challenge

    Regulatory pressure. Manual processes. No single source of truth.

    With FCA scrutiny increasing and internal audit activity underway, the firm needed to digitise controls, strengthen CASS oversight and formalise supplier governance, quickly, and without adding operational burden.

     

    The Solution

    Four workflows. One platform.

    Operational Task & Evidence Management

    Manual checklists became structured workflows with automated notifications and full audit trails. Teams self-manage recurring controls and upload evidence directly, no chasing required. Talk to us about Evidence Management and Task Lists.

    CASS Oversight

    CASS requirements were configured with structured assessments, linked attestations and centralised visibility, including oversight of an outsourced transfer agency provider. Talk to us about Client Assets Compliance.

    Policy Governance & Attestations

    Ruleguard sits as a governance layer over existing document storage, providing a structured policy directory with linked attestations, ownership tracking and review workflows. Discover Policy Governance.

    Supplier Oversight

    A consistent, auditable third-party governance framework replaced ad hoc processes, with staged rollout and structured oversight across the supplier base. Explore Supplier Oversight.

    The results

    • Rapid adoption by operational and IT teams
    • Improved audit readiness and evidence visibility
    • Strengthened CASS control assurance
    • Consistent supplier governance framework in place
    • Scalable infrastructure for ongoing regulatory change


    Want to see what this looks like for your firm?

    Whether it's CASS, operational controls, policy governance or supplier oversight, talk to us about how Ruleguard can work for you.