Client File Reviews

Flawless compliance
with Consumer Duty rules

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 Regulations.

Benefits of Ruleguard’s
Client File Reviews solution

Demonstrate compliance in client advisory services, from investments to insurance, ensuring all advice is up-to-date and aligned with current regulations and standards. Explore the benefits of Ruleguard’s Client File Reviews solution.

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.

Prevent bribery occurring on your watch

systems and controls, compliance, FCA, bribery, monitoring, audit

The Future of Accountability: SM&CR Reforms

accountability, innovation, regulatory strategy, SM&CR, regulatory updates, UK

What is CMAR anyway?

oversight, CASS, CMAR, client assets, client money

An effortless journey, for you and your clients

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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