Client Assurance Portal Software

A seamless control environment between you, your outsourced providers and any sub-contractors for genuine oversight.

Over the years we’ve seen regulators around the world focusing on outsourced and third-party arrangements. Current efforts to build a more resilient financial services sector continue this theme both in the UK and overseas. Firms need to remain responsible for compliance with all regulatory demands even where an outsourcing relationship is in place.

Ruleguard for Third Party Oversight takes the core benefit of the Ruleguard platform – powerful rules-mapping and evidencing – and uses it to bridge the gap between a firm and the third parties that it works with. With Ruleguard solution, firms can document, understand, and measure various aspects of the relationships they have in place with ease and transparency.

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Reduce overhead for third-party monitoring activities

Eliminate the need for manual review of changes

Simplify audit preparation and evidence gathering for outsourced arrangement

Standardise the
compliance approach between all third parties

Improve transparency and governance arrangements between firm and its partners

Allow clients and ManCos
to access relevant issue
and breach log on demand

Solution Features

With Ruleguard, firms can document, understand, and measure various aspects of the relationships they have in place with ease and transparency. Key features include the following:

Selectively share any information maintained within the Ruleguard system
Control and process documentation, along with all relevant mapping links to rules and regulatory frameworks, can be provided at the touch of a button
As information changes over time, differences are automatically highlighted to ensure that up-to-date records are being maintained
Map received information into your own data, letting you incorporate third party regulatory information into your own risk or monitoring frameworks. For example, you can generate and automatically maintain compliance documents that reference third party controls – clearly labelled with the provider that operates them – within your account.
Radically transform the third-party oversight capabilities of a compliance function and allow it to extend best practice beyond the borders of the firm