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Governance and Oversights Compliance Solutions

Governance and Oversights
Compliance Solutions

Transparency and accountability are integral elements of any governance framework. This structure is further supported by a system of reporting, with information appropriately tailored for each level of responsibility within firms.  Without effective controls and good communication channels, failures could easily occur. It becomes essential for firms to look at their business structure, activities and how they conduct business to determine what will work for them.

To ensure boards can have timely, accurate and relevant information, we work with Executive Director and Chief Executive Officer to better manage key compliance workflows and demonstrate reviews and updates. With our solution, management information is available which directly provide stakeholders with an up-to-the-minute overview of compliance results.

Why Ruleguard for Governance & Oversight?

Provide Assurance to Governing Bodies

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.  


Rich and Timely Reporting

Ruleguard's personal dashboards allow individuals to track key tasks, complaints and issues in real-time to generate timely reports without fuss.

Ruleguard's key features include:

  • Save time and effort by using a centralised repository

  • Store all data in one place in a single repository

  • Facilitate timely escalation of issues to enable speedy resolution

  • Improve governance and oversight of key risks

  • Reduce risk of non-compliance due to regulatory change

  • Gain assurance via personal dashboards

Solutions for Governance & Oversight

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

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Incident & Breach Management

Raise and manage compliance incidents & breaches through the complete analysis and root
cause life cycle for audit preparation

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A seamless control environment between you and your auditors for genuine oversight   

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Regulatory Change Management

Your early warning system for new and changed rules - every regulator, every jurisdiction, in a single rules repository

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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