Integrated compliance for the Consumer Duty
The Consumer Duty demands that firms evidence good outcomes across products, price, understanding, and support — continuously, not just at implementation. Ruleguard provides an AI-powered platform to document, monitor, and evidence compliance with the Duty's four outcomes and three cross-cutting rules, at the scale your firm requires.
TRUSTED BY LEADING FINANCIAL INSTITUTIONS
The Challenge
Consumer Duty compliance can't be a one-off implementation exercise
The Consumer Duty requires firms to act in good faith, avoid foreseeable harm, and enable customers to pursue their financial objectives — across every product, service, and customer interaction. Annual board reviews, ongoing outcomes monitoring, and continuous evidence gathering are not optional.
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Volume of evidence required
documenting compliance with four outcomes and three cross-cutting rules across every product and customer journey generates enormous documentation requirements
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Fragmented point solutions
complaints in one system, product reviews in another, financial promotions in a third — no single view of Consumer Duty compliance
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Annual review burden
preparing the board's annual Consumer Duty report requires assembling data from across the organisation
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Proportionality challenge
scaling monitoring and assurance activities appropriately for your firm's size and complexity
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The Solution
One platform for sustained Consumer Duty compliance
Ruleguard addresses the Consumer Duty's breadth by bringing together six related compliance solutions — complaints, financial promotions, product governance, file reviews, accountability, and supplier oversight — into a unified framework. Your controls, risks, and processes are mapped to the Duty's outcomes and rules, and assurance data flows in from across the platform. The result: a single, evidence-rich view of Consumer Duty compliance, not a patchwork of disconnected tools.
Outcome and rules mapping
Map your controls, risks, and processes to the four consumer outcomes and three cross-cutting rules. When requirements evolve or your product range changes, impacted areas are flagged automatically so your team can respond with confidence.
Integrated assurance across solutions
Complaints, financial promotions, product reviews, file review findings — assurance data flows in from across Ruleguard's solution suite, eliminating the need to aggregate from fragmented systems. One platform gives you a unified Consumer Duty view.
Automated periodic reviews
Product reviews, value assessments, and outcome monitoring are scheduled and orchestrated through configurable attestations and tasks. Evidence is gathered without manual chasers — and stored with the controls and products it relates to.
Board reporting and governance
The data needed for annual Consumer Duty board reports is compiled from across the platform. Consumer Duty Champion activities, Conduct Rule 6 requirements, and SM&CR alignment are tracked alongside operational compliance.
Governance
Human-in-the-loop governance
Consumer Duty compliance requires nuanced judgement — particularly around fair value, foreseeable harm, and customer understanding. Ruleguard automates the evidence gathering and monitoring, not the decisions:
Full Review
Every product value assessment and outcome determination reviewed by a senior stakeholder before conclusions are recorded. Critical for new products or areas where customer harm risk is highest.
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Exception-based
Routine monitoring data and attestation responses compiled automatically; only adverse indicators or outcome deterioration flagged for human review.
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Autonomous
Evidence compilation, attestation scheduling, and board report data assembly handled by the platform, with periodic review by the Consumer Duty Champion.
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Your team makes the judgement calls. Ruleguard ensures they're working from complete, current data.
Built for Regulated Firms
Enterprise-grade compliance
Ruleguard is built to the standards financial regulators and auditors expect — not retrofitted to meet them.
