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Compliance Solutions for Wealth Management

Compliance Solutions for
Wealth Management

Due to the volume and complexity of regulations such as Consumer Duty and MiFID II, manual compliance processes have become impractical.

 

With a lack of tools to implement changes required by new regulations, wealth managers find it hard to execute compliance processes properly and on time. Failure to track effectively and hit deadlines exposes firms to compliance risks.

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To meet these needs, Ruleguard brings a comprehensive set of capabilities that helps wealth management firms overcome their regulatory challenges.

Why Ruleguard for Wealth Management?

Robust Audit Trail 

Maintaining accurate records and demonstrating compliance with consumer disclosures, communications and reporting is facilitated via workflows and assigning tasks to individuals and teams.​ 

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Effective Management of Third Parties

Where activities are outsourced, you can facilitate oversight by gathering selective data from third parties in one central repository.  Third party data can feed into your regular reporting cycle and also enables Ruleguard's early identification of issues and timely reporting of third party arrangements.

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Ruleguard's key features help firms to:

  • Save time and effort by using a centralised repository

  • Demonstrate compliance with a comprehensive audit trail

  • Improve governance and oversight of key processes

  • Reduce risk of non-compliance due to regulatory change

  • Produce timely reports to suit your audience needs

  • Facilitate incident and complaint investigations

Solutions for Wealth Management

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Accountability
Regimes

Map organisational structure, track responsibilities and delegation, evidence reasonable steps & automate submissions to regulators 

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Tasks &
Checklists

Assign granular tasks to individuals with detailed control over dates & times

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Operational Risk Management

Map risks and controls to facilitate compliance monitoring

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Regulatory Change Management

Your early warning system for new and changed rules - every regulator, every jurisdiction, in a single rules repository

Learn how Ruleguard can help reduce costs, improve efficiency, and mitigate risk.

Insights

Explore in-depth blogs and resources that explore the hot topics within the regulatory landscape.

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