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Compliance Solutions for Funds

Compliance Solutions for Funds

Fund managers and administrators are facing rigorous fund compliance, reporting, and transparency challenges, along with increased pressures from regulators and investors. Firms and individuals are required to operate under high regulatory standards and demonstrate robust governance.

With the ever-evolving regulatory requirements in different jurisdictions, fund managers and fund administrators alike must fulfil rigorous processes to meet compliance, reporting, and transparency requirements. Non-compliance with regulatory framework may result in consequences for the investors and funds.

Firms should review their compliance and risk management infrastructures. They should look for effective ways to improve their oversight of third parties without additional administrative burden and explore opportunities to make their processes more efficient.

Why Ruleguard for Funds?

Provide Assurance of Compliance

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

Improve Third Party Oversight 

With Ruleguard, firms have a seamless control environment between the firm and its third parties for genuine oversight. Ruleguard allows firms to map received data, letting firms incorporate third party information into a firm’s own risk and monitoring frameworks. This can radically transform the third-party oversight capabilities of a compliance function.

Ruleguard can help you to:

  • Maximise your compliance reporting capabilities

  • Reduce overhead for third party monitoring activities

  • Improve transparency and governance arrangements between firm and its partners

  • Eliminate the need for manual review of changes

  • Simplify audit preparation and evidence gathering for outsourced arrangement

  • Reduce the risk of non-compliance due to regulatory change

  • Provide assurance to governing bodies

Solutions for Funds

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The Ruleguard platform facilitates the sharing of key data between firms via a secure gateway.  Firms can share specific content, allocate & track tasks to completion whilst also establishing a full audit trail.

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A fully configurable solution designed to streamline compliance with the requirements of the international accountability regimes including Senior Managers & Certification Regime and SEAR. Requirements supported include: fitness & propriety and T&C assessments, certification, MRMs, SORs and individual conduct breaches.

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Operational Risk

Ruleguard has an integrated solution to enable firms to track all identified risks and corresponding controls and mitigations across the enterprise. The solution has built-in features to help users to assess, quantify, remedy, report and streamline their risk management processes.

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Incident & Breach Management

Ruleguard users have access to a fully configurable incident and breach management solution to record, track, investigate and remedy any identified regulatory incidents/breaches and risk events and map them to the impacted rules, controls and operational processes.

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


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