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Ruleguard Solutions for Fund Management

Ruleguard Solutions for Fund Management

The Fund Management industry faces 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 high standards of governance. Many of them are looking for ways to reduce the administrative burden and costs while fulfilling the requirements.
Increasing efficiency and accuracy through technology has the potential to offset some of the costs associated with compliance, while reducing regulatory risks. And a culture of compliance may well turn out to be good business for many managers in the industry. The ability to demonstrate disciplined processes can be a key differentiator in investor due diligence.
Technology that delivers real-time information is becoming both a competitive and regulatory necessity. At Ruleguard, we deliver best-in-class governance, oversight, and management of compliance risks. With our solution for fund management, you can alleviate a tremendous administrative burden while reducing the risk of errors and ensuring that the reports adhere to the regulators’ guidelines.

Why Ruleguard for Fund Management?

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

  • Save time and effort by using a centralised repository for key deadlines

  • Simplify audit preparation and evidence gathering for outsourced arrangement

  • Reduce overhead for third-party monitoring activities

  • Improve governance and oversight of third parties

  • Make breach resolution transparent and simple

Solutions for Fund Management

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Ruleguard has built-in functionality designed to help firms to identify regulatory changes and assess their impact on their operational processes, policies, risks, and controls. Users have  access to a repository of regulatory content from multiple public and subscription sources.

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Client Assurance

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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The Ruleguard Complaints Handling platform is a configurable workflow solution designed to manage the requirements of the entire complaints life-cycle from initial receipt/identification of complaint, assessment, investigation, escalation through remediation and reporting. 

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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.

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