Scalable automation for employee attestations
Attestations are the backbone of compliance assurance — but managing them manually across hundreds of employees, multiple policy areas, and varying frequencies is an administrative burden that doesn't scale. Ruleguard's AI agents automate attestation scheduling, distribution, collection, and evidence management so your compliance team can focus on what the responses tell you, not on chasing them.
TRUSTED BY LEADING FINANCIAL INSTITUTIONS
The Challenge
Attestations shouldn't be an administrative endurance test
Regulators expect firms to evidence that employees understand their obligations, acknowledge policies, and certify compliance — regularly. Whether it's conduct rules attestations, policy acknowledgements, or annual certifications, each cycle requires scheduling, chasing, recording, and reporting.
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Chasing responses
manually following up with employees who haven't completed attestations, often across multiple business lines and locations
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Fragmented records
attestation evidence scattered across email, HR systems, and shared drives with no single source of truth
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Scheduling complexity
coordinating different attestation types on different frequencies for different populations
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Audit evidence gaps
inability to quickly demonstrate who attested to what, when, and whether any exceptions were escalated
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The Solution
Attestation management that scales with your organisation
Ruleguard handles the full attestation lifecycle — design, scheduling, distribution, collection, and evidence storage — in one platform. Configurable templates capture exactly the data you need, automated reminders eliminate manual chasing, and every response is stored immutably for audit purposes. The result: compliance evidence that builds itself.
Automated scheduling and distribution
Attestations are scheduled at the right frequency — annual, quarterly, or event-triggered — and distributed to the right population automatically. Reminders, escalations, and deadline tracking run without manual intervention.
Configurable attestation templates
Design attestations to capture exactly the data your compliance programme requires — structured responses, evidence uploads, and conditional questioning based on answers provided. Templates adapt to your requirements, not the other way around.
Real-time completion tracking
Compliance teams see attestation progress in real time — who has completed, who is outstanding, and who requires escalation. Dashboards give instant visibility across the entire population without manual status checks.
Centralised evidence repository
Every attestation response, timestamp, and supporting document is stored centrally and immutably. Completion records are compiled into audit-ready evidence packs on demand — no more assembling proof from email folders.
Governance
Human-in-the-loop governance
Most attestation cycles are administrative — but exceptions and non-completions require genuine compliance attention. Ruleguard separates the routine from the significant:
Full Review
Every attestation response reviewed by compliance before the cycle is closed. Appropriate for sensitive attestations like annual conduct rules declarations.
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Exception-based
Standard acknowledgements recorded automatically; only negative responses, non-completions, or flagged answers escalated for review.
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Autonomous
Scheduling, distribution, reminders, and evidence compilation handled entirely by the platform, with dashboards for compliance oversight.
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Your compliance team reviews what matters. The logistics run themselves.
Built for Regulated Firms
Enterprise-grade compliance
Ruleguard is built to the standards financial regulators and auditors expect — not retrofitted to meet them.
