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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.

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.​ 

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.

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
Regime

A fully configurable solution designed to streamline compliance with the requirements of the international accountability regimes including Senior Managers & Certification Regime and SEAR. Requirements supported include: fitness & propriety and T&C assessments, certification, MRMs, SORs and individual conduct breaches.

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Evidence Management and Task Lists

Ruleguard enables firms to administer and control evidence related to an event or multiple events. Firms can provide assurance relating to events with supporting evidence that can be tested by independent parties.

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Operational Risk Management

Ruleguard has an integrated solution to enable firms to track all identified risks and corresponding controls and mitigations across the enterprise. The solution has built-in features to help users to assess, quantify, remedy, report and streamline their risk management processes 

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Regulatory
Updates

Ruleguard has built-in functionality designed to help firms to identify regulatory changes and assess their impact on their operational processes, policies, risks, and controls. Users have  access to a repository of regulatory content from multiple public and subscription sources. 

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

Insights

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