Third Party Oversight

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Third Party Oversight

A seamless control environment between you and your transfer agents and administrators for genuine oversight

Ruleguard for Third Party Oversight takes the core benefit of the Ruleguard platform – powerful rules-mapping and evidencing – and uses it to bridge the gap between a firm and the third parties that it works with.


Any information maintained within the Ruleguard system can be selectively shared with others. Control and process documentation, along with all relevant mapping links to rules and regulatory frameworks, can be provided at the touch of a button.


As information changes over time, differences are automatically highlighted to ensure that up-to-date records are being maintained.

Ruleguard allows you to map received information into your own data, letting you incorporate third party regulatory information into your own risk or monitoring frameworks. For example, you can generate and automatically maintain compliance documents that reference third party controls – clearly labelled with the provider that operates them – within your account.


This has the ability to radically transform the third party oversight capabilities of a compliance function and allow it to extend best practice beyond the borders of the firm.