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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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Third Party

A seamless control environment between you and your third parties for genuine oversight

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

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Operational Risk

Map risks and controls throughout workflows to easily identify issues and emerging trends. 

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Incident & Breach Management

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

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


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