Ruleguard’s regulatory insights & resources

Dive deep into compliance mastery and enjoy browsing through our exclusive, extensive regulatory insights and resource library tailored for Financial Services.

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Webinars

Join your peers from around the world, for our regular live broadcasts or watch our on-demand webinars at your convenience, to gain direct access to the pulse of GRC thought leadership. Each session is a gateway to the latest trends and compliance strategies, offering a dynamic platform for learning and interaction.

Improve Complaints Management and Improve Compliance

compliance complaints UPCOMING

“Complaints data is one type of data firms can use to understand the outcomes their customers are experiencing.” FCA Complaints & Root Cause Analysis. The UK regulator continues to urge firm to use their complaints data to address poor outcomes and identify areas of...

Avoid the Pitfalls: Proactive Compliance Monitoring

compliance

Priscilla Gaudoin, Ruleguard's Head of Risk & Compliance explores some of the common pitfalls of compliance monitoring. How can technology and continuous compliance tracking move your firm from reactive to proactive management?

Ruleguard Operational Resilience Roundtable

operational resilience, round table

Building Operational Resilience Together This event is designed for professionals in financial services who are navigating the complex landscape of operational resilience. With insights from regulatory developments, industry best practices, and real-world solutions,...

Third Party Risk: Outsourced, not out of sight

risk management, third party risk

Ruleguard's Head of Risk & Compliance focuses on the global regulatory emphasis on Operational Resilience, highlighting the critical need for firms to identify and manage risks associated with critical third parties (CTPs). The event addresses how firms can meet...

Ruleguard CASS Roundtable

audit, CASS, client assets

We were joined by 30+ Senior Managers and Heads of Client Assets for an insightful session discussing CASS challenges, strategies to enhance compliance, exploring the latest market trends, and more.

Operational Resilience: Protect Investors & Enhance Compliance

risk management, operational resilience, operational frameworks

In this event, our expert panel provide an overview of the UK’s operational resilience framework, outline key requirements of the EU’s Digital Operational Resilience Act (DORA) and discuss how operational resilience aids transparency and builds trust with consumers.

Financial Crime: Preventing Market Abuse

risk management, cryptoassets, operational risk

In this webinar, Ruleguard explores the topic of market abuse by looking at the rules, requirements, and developments. We often think of market abuse in terms of rogue traders, but the term covers a multitude of sins.

Practical Considerations for Regulatory Change Management

regulatory change management, AI

In this on-demand webinar, the panelists discuss the challenges firms encounter in managing regulatory changes and the urgency with which they must respond. The session also highlights the importance of meeting this year's deadlines, explores various RegTech solutions...

Risk Management: Tactics for Digital Assets