Elevate Complaints Handling with Clear, Structured Workflows
Transform complaints handling with streamlined workflows, full case visibility, and powerful reporting that improves responsiveness and regulatory confidence.
Intelligent automation for complaints handling
DISP regulation demands fair, prompt, and well-evidenced complaints handling — with tight deadlines, detailed record-keeping, and regulatory reporting. Ruleguard's AI agents manage complaints from intake through resolution, keeping every interaction tracked and every deadline visible.
TRUSTED BY LEADING FINANCIAL INSTITUTIONS
The Challenge
Complaints handling shouldn't consume disproportionate resources
Every complaint must be acknowledged promptly, investigated impartially, and resolved within eight weeks. Records must be maintained for six years. Data must be reported to the regulator. And every complaint is a signal that your products, services, or processes may need attention.
Deadline management risk
tracking eight-week response windows, acknowledgement deadlines, and FOS referral timelines manually across a growing volume of complaints
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Inconsistent handling
different teams applying different approaches without a standardised, auditable process
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Root cause blindness
unable to spot patterns and systemic issues without centralised data and trend analysis
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Regulatory reporting burden
compiling complaint data for regulatory submissions from fragmented sources
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The Solution
A smarter way to manage complaints end-to-end
Ruleguard replaces fragmented complaint tracking with a single, agent-driven workflow — from intake and categorisation through investigation and resolution. Every complaint is logged against configurable templates, routed to the right people, and tracked against regulatory deadlines. The data you need for root cause analysis and regulatory reporting is captured as you go, not assembled after the fact.
Automated complaint workflows
The full complaint lifecycle — intake, categorisation, investigation, and resolution — runs through configurable workflow stages with automated notifications, deadline tracking, and escalation rules. The right people are involved at every step without manual coordination.
Configurable complaint templates
Log complaints into fully customisable templates that capture exactly the data your firm needs. Intelligent routing sends complaints to appropriate teams based on type, severity, or product line — no more manual triage.
Relationship mapping to controls and risks
Complaints are linked to related controls, risks, rules, and products. When a complaint surfaces a control failure, the connection is documented automatically — making root cause analysis systematic rather than ad-hoc.
MI-powered trend analysis
Powerful analytics surface complaint patterns — by product, adviser, time period, or outcome. Configurable dashboards give compliance and the board the insights needed to address systemic issues before regulators do.
Governance
Human-in-the-loop governance
Complaint resolution requires empathy, judgement, and regulatory awareness that only your team can provide. Ruleguard handles the process around those decisions:
Full Review
Every complaint response reviewed by a senior complaint handler before it's sent. The right approach for complex complaints or those with FOS escalation risk.
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Exception-based
Routine complaints follow standard workflows automatically; only those exceeding value thresholds, approaching deadlines, or flagged as systemic are escalated.
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Autonomous
Intake logging, acknowledgement generation, deadline tracking, and regulatory data compilation handled without manual intervention.
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Your complaint handlers focus on investigation and resolution. The platform handles everything else.
Why Ruleguard
Built for firms that can't afford to get it wrong
One platform, not a point solution
Complaints don't exist in isolation — they connect to product governance, financial promotions, file reviews, and Consumer Duty outcomes. On Ruleguard, complaint data feeds directly into these related areas, giving you a unified view of customer outcomes and conduct risk.
Four layers of context
Complaint workflows, categorisation schemes, and escalation rules are configured to match your firm's specific complaints handling policy and regulatory reporting requirements — ensuring the platform reflects how your team actually works.
Certified and audited
ISO 27001 for information security. ISO 42001 for AI management systems. Multi-jurisdiction data residency. Built for the most demanding regulated environments.
Measurable impact
Reduce time spent on complaint administration. Automate workflows for faster information gathering and fewer manual processes. Improve oversight with centralised complaint data — and use trend analysis to drive continuous improvement.
Built for Regulated Firms
Enterprise-grade compliance
Ruleguard is built to the standards financial regulators and auditors expect — not retrofitted to meet them.
