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Compliance and Risk Solutions

Compliance and Risk Solutions

We have seen major disruptions to business cycles over the last three decades, including the global financial crisis and the recent Covid-19 pandemic. The new issues presented by the pandemic are only compounded by the increase in compliance obligations, as well as the growing threat of cybercriminals and security breaches, all with the power to destroy a firm’s reputation.

In this environment, every organisation needs to combat the growing threats due to non-financial risks, from compliance to misconduct to operational errors. Ruleguard solutions are specifically designed to help compliance and risk teams align their processes with regulatory requirements to meet regulatory expectations. We work with Chief Compliance and Risk Officers as well as other executives to help them manage their risk agenda and improve their risk management capacities.

Why Ruleguard for Compliance & Risk?

Improve Compliance and Controls

Help reduce the cost of compliance and response time to regulatory changes with greater consistency of execution and enhanced control.

Demonstrate Compliance with Robust Audit trails

Ruleguard’s online workflows make it simple for firms to complete tasks. Our repository features allow you to store and keep an audit trail of relevant documents in one place.

Improve Efficiency of Investigations 

Complete oversight of the complaints and breach processes with Ruleguard’s detailed MI and reporting features

Ruleguard's solution can help you to:

  • Reduce compliance costs

  • Facilitate proactive compliance

  • Improve risk-based compliance monitoring by easily identifying areas for attention

  • Demonstrate oversight of third parties and control of your data

  • Create a comprehensive audit trail with supporting evidence

  • Provide full transparency and accountability

  • Produce timely reporting to meet your audience’s needs

Solutions for Compliance & Risk

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Raise, resolve and investigate complaints

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Map organisational structure, track responsibilities and delegation, evidence reasonable steps & automate submissions to regulators 

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Incident & Breach

Raise and manage compliance incidents & breaches through investigation and root
cause analysis for audit preparation

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Track, monitor and evidence compliance with regulatory obligations

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Operational Risk Management

Map risks and controls to your processes to facilitate compliance monitoring

Learn how Ruleguard can help reduce costs, improve efficiency, and mitigate risk.


Explore in-depth blogs and resources that explore the hot topics within the regulatory landscape.

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