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    Ruleguard FAQs

    What does Ruleguard do?

    Ruleguard is an end-to-end GRC software that helps regulated firms in the Financial Services sector to effectively monitor, manage and evidence compliance.

    Our comprehensive solution streamlines the complexities often associated with regulatory compliance, through a suite of core modules which reduce risk and transform traditional manual compliance and monitoring processes, through advanced automation. 

    Regulated firms across the globe and multiple jurisdictions can automate key compliance areas, enhancing business operations, whilst reducing manual labour and costs.

    Ruleguard is valuable for entities in sectors including Banking, Asset Management, Insurance, Pensions and Wealth Management, offering a portfolio of solutions encompassing risk and compliance management, employee compliance, operational risk management and consumer duty.

    How does it work?

    Our integrated, user-friendly compliance tracking software efficiently handles your GRC framework’s whole lifecycle. 

    The Ruleguard platform, through its suite of core modules, offers a holistic approach that can be tailored to various points in a firm's compliance journey. The Ruleguard platform allows for the automation of key compliance areas, enabling monitoring to be embedded directly into business processes, thus significantly simplifying and reducing the overhead required for these tasks​​.

    The platform facilitates the gathering of real-time evidence and approvals, with responsible individuals within the firm able to sign off on attestations within a framework specifically designed for their operations.

    Additionally, it manages documentation reviews and updates automatically and allows for the direct design of key compliance workflows within the solution. This ensures that management information outputs are readily available, providing stakeholders with an up-to-the-minute overview of compliance results. 

    Ruleguard transforms the traditional, manual, and periodic nature of compliance documentation and monitoring into an automated, continuous, and integrated process​​.

    How does Ruleguard access global regulations?

    Ruleguard accesses global regulations through a combination of technology-driven data collection, processing, and user-oriented services, designed to simplify the complex landscape of global compliance for businesses.

    Who is the platform used by?

    Ruleguard is the GRC powerhouse behind 50+ prestigious and blue-chip organisations.

    Review our glowing testimonials and check out our case studies to see why banks, insurance companies, asset management companies and investment funds trust and rely on us, to effectively manage their regulatory compliance.

    What regulations does Ruleguard help track and what countries do you provide solutions for?

    Ruleguard provides a comprehensive platform that supports a wide range of regulations to assist compliance for organisations across various sectors, including Banking, Asset Management, Funds, Insurance, Pensions, and Wealth Management.

    The platform offers a multitude of solutions, such as Compliance Monitoring, Incident and Breach Management, Operational Risk Management, Pension & GRC, Regulatory Updates, Rules Mapping, Evidence Management and Task Lists, and a Client Assurance portal​​​​​​​​.

    Our capabilities in regulatory updates and rules mapping keep pace with ever-expanding and complex regulatory requirements issued by financial regulators worldwide. 

    Ruleguard's platform is designed to automatically process updates from compliance sources around the web, helping firms stay on top of important compliance dates and proactively manage potential risks​​.

    Ruleguard is tailored for the global Financial Services sector, and the solutions are applicable across different jurisdictions. The platform's functionalities, such as compliance with international Accountability Regimes (including SMCR, FAR, MIC and SEAR), means Ruleguard can support organisations operating under multiple regulatory environments worldwide​​.

    I manage compliance for a global organisation how can Ruleguard platform help me?

    For a global organisation managing compliance, the Ruleguard platform can be a powerful tool in several ways, through:

    • Holistic compliance management
    • Automation and real-time monitoring
    • Customisable workflows and documentation management
    • Enhanced risk management and operational resilience
    • Global regulatory compliance
    • Client and evidence management

    By leveraging Ruleguard's comprehensive, automated compliance management solutions, your firm can ensure adherence to regulatory requirements across different regions and optimise the efficiency and effectiveness of its compliance operations, thereby reducing costs and enhancing its overall compliance posture.

    I use Microsoft Excel to manage my risk and compliance processes. How can Ruleguard help me?

    Ruleguard automates key compliance and risk management tasks, reducing manual effort and the potential for human error associated with Excel. Its ability to integrate with existing systems means that you can streamline data flow and processes, making the management of compliance data more efficient​​.

    The Ruleguard platform offers:

    - Real-time monitoring and reporting
    - Customisable workflows
    - Enhanced data security
    - Scalability
    - Regulatory updates and content repository
    - Evidence management and audit trails

    By leveraging Ruleguard's comprehensive suite of features, you can move beyond the limitations of Excel, enhancing your firm's compliance and risk management practices with a solution designed for the complexities of the modern regulatory landscape.

    How long does it take to set up the solution?

    Each Ruleguard implementation is unique and depends on the scope of the implementation but typically it takes 3 months from contract execution to go live. Our dedicated in-house Implementation team will take receipt of your data, perform the data import, confirm your starting state, oversee your acceptance testing, train your staff and hand over the keys. Then Ruleguard is your golden source of compliance information and evidence.

    What input do we need from our side?

    Typically our clients will already have most or all of the data they need to be productive with Ruleguard and our Implementation team will take care of onboarding. We usually take receipt of data in Excel spreadsheets or CSV data exports from existing risk or workflow systems. Additional configuration information and data may be briefed to us from your risk and compliance policy documents, risk scoring methodology, workflow flowcharts, data capture templates, and similar artefacts you will likely have to hand.

    Talk pricing to me…

    Ruleguard works with a range of clients big and small. Smaller implementations can be much less than 1 x FTE and larger implementations can provide all the power of an enterprise GRC system at up to 50% of the price. Talk to us about your requirements and we can provide you with a suitable proposal.

    What’s the process of setting up Ruleguard?

    We’ve made it simple for our clients to set up Ruleguard, with no coding required!

    When clients provide the required data, our in-house Implementation team assists with the data-importing process. Once the data is imported, the implementation specialists guide you through the system's functionalities, ensuring a smooth setup process.

    Does Ruleguard provide training and support after the initial setup?

    Absolutely! Ruleguard provides ongoing training as part of the implementation and handover process and has a support helpdesk for raising tickets for assistance once your firm is live.

    Can we integrate our internal systems with Ruleguard?

    Yes! Ruleguard has an API library that can be used to automate a variety of use cases as well as batch file and other methods for system integration.
    Speak to your implementation consultant to discuss your requirements. They will suggest the right approach for your technical team to use to integrate your internal systems with Ruleguard.

    Is Ruleguard ISO certified?

    Yes, Ruleguard has been ISO 27001 certified for over 7 years.

    I would like to work for Ruleguard – where can I apply?

    Great news! As a growing SaaS RegTech company, we’re regularly hiring. Explore our open positions now.

    Who are the brains behind Ruleguard?

    Check out our leaders, strategists, and technologists who'll help you conquer your compliance workload on our Team page.