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    compliance | 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.

    compliance

    Financial Promotions under Scrutiny in a Global Market

    Financial Promotions under Scrutiny in a Global Market

    compliance  FCA  risk management  financial promotions  UPCOMING

    Discover how Ruleguard is helping firms navigate financial promotions regulation, from the UK Financial Promotions Gateway and oversight of Appointed Representatives to regional approaches. We’ll also uncover common challenges and how to overcome them.

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    Improve Complaints Management and Improve Compliance

    Improve Complaints Management and Improve Compliance

    compliance,  complaints

    “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...

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    When is a gift not a gift?

    When is a gift not a gift?

    compliance,  bribery,  conflicts

    Priscilla Gaudoin, Ruleguard's Head of Risk & Compliance explores the grey areas where seemingly small gestures can spiral into major compliance issues, through the lens of practical case studies, real-world vulnerabilities, and recent regulatory scrutiny.

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