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Platform
Compliance and
risk management
Regulatory 
Client Assets 
Policy and Document 
Compliance 
Operational Risk 
Operational 
Evidence Management 
Service Organisation 
Client 
Incident and Breach
Employee
compliance
Accountability 
Personal 
Gifts and 
Conflicts 
Employee
Consumer
duty
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About
Back
Insights
Control Your Conflicts: Strategies for Transparency & Integrity
WEBINARBeyond Compliance: Elevating Governance and Managing Risks Effectively
WEBINARNavigating Disruption: Building Operational Resilience in Today's World
WEBINARBeyond the Checklist: Unveiling the True Essence of Consumer Duty
WhitepaperOperational Resilience: Adapt, Respond & Recover
WhitepaperBest Practice in Third Party Risk Management
WhitepaperGuide to the FCA’s Strategy
WhitepaperSM&CR: Enhancing Ethics, Accountability & Culture
Client File Reviews is an end-to-end solution designed to streamline the assessment and grading of client files against relevant FCA principles, in response to the Consumer Duty.
Triggered precision
The Ruleguard platform enables you to initiate reviews through periodic checks, thematic evaluations, or client feedback, ensuring comprehensive oversight and continuous improvement in service quality.
Streamlined process
Leverage a multi-phase approach for advice, quality assurance, and compliance checks, supported by periodic audits for unmatched diligence and reliability.
Regulatory excellence
Navigate complex regulatory landscapes with ease, ensuring your firm adheres to precise requirements for disclosures, risk warnings, and documentation across multiple jurisdictions.
Proactive oversight
Adopt a culture of excellence, embedding a compliance-first approach within your firm, from policy and documentation management, to robust product governance, and operational risk management.
Ruleguard's Client File Reviews solution transforms the traditional review process into a dynamic, efficient, and comprehensive compliance journey, ensuring excellence in client service and regulatory adherence. Whether your file review is triggered by Section 166, third-party oversight or complaints, be ready to demonstrate a full audit trail with Ruleguard.
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Our end-to-end RegTech solution streamlines client file assessment and grading against relevant FCA principles in response to the Consumer Duty outcomes.
