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REGULATORY SOLUTIONS

21 solutions. One platform.

Pre-built regulatory and risk solutions, refined through real-world deployment. Deploy out of the box or tailor to your exact requirements.
Book a Demo → Browse all solutions
No sales pitch
30-min walkthrough
ISO 27001 + 42001
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TRUSTED BY LEADING FINANCIAL INSTITUTIONS
ACCOUNTABILITY & CONDUCT

The full scope of modern compliance — automated.

Each solution maps directly to a regulatory obligation your firm carries.
Browse by category or scroll the full library.

Employee Compliance

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Accountability

SM&CR, SEAR, FAR accountability regime automation

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Conflicts of Interest

Smart conflicts management

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Employee Attestations

Scalable attestation automation

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Gifts & Hospitality

Gifts and hospitality declarations

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Personal Account Dealing

Secure PAD compliance

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Consumer Duty

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Appointed Representatives

Principal-AR compliance oversight

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Client File Reviews

Automated client file review workflows

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Complaints Management

Intelligent complaints handling

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Consumer Duty

Consumer Duty compliance

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Financial Promotions

Financial promotions compliance

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Product Governance

Product governance and lifecycle

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Supplier Oversight

Risk-based supplier oversight

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Compliance and Risk Management

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Audit Management

Streamlined audit and control testing

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Compliance Monitoring

AI-powered monitoring programmes

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Evidence Management

Centralised evidence and task management

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Incident & Breach Management

Rapid incident response

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Operational Risk Management

Dynamic risk management

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Policy & Document Management

Policy lifecycle automation

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Regulatory Change Management

AI-powered regulatory change

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Service Organization Assurance

SOC/ISAE/AAF assurance

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Client Assets (CASS & CAR)

Line-byline CASS & CAR rule mapping and audit-ready packs

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Operational Resilience

AI-powered operational resilience

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Every solution is pre-built from real regulatory deployments — not hypothetical frameworks. Your compliance team configures the rules. Ruleguard handles the evidence.

Trusted by the teams who carry the obligation.

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 "The implementation of the 'Significant Events' process within Ruleguard has delivered a substantial improvement over our previous manual approach. The platform has successfully accommodated our complex requirements and provided a scalable, efficient solution that supports both operational delivery and strategic oversight." 
Built for Regulated Firms

Enterprise-grade compliance

see it in action

See it in action.

Book a demo and discover how Ruleguard turns regulatory complexity into scalable, auditable automation.
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No sales pitch 30-minute tailored walkthrough ISO 27001 & ISO 42001