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    Click the link below to access the whitepaper

    Here’s a quick reminder of what the whitepaper covers

    ✔️Understand the importance of individual accountability regimes regardless of jurisdiction.

    ✔️Navigate the key components of SM&CR and similar regimes.

    ✔️Explore how the regimes impact the financial services sector.

    ✔️Gain insights into how to manage some of the challenges facing firms.

    ✔️Learn how Ruleguard is assisting global firms to fulfil their obligations.

    Ruleguard - SMCR - Whitepaper-1

    In the meantime, learn more about
    Ruleguard

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    End-to-end GRC solutions

    Explore our full range of platform solutions and discover Ruleguard’s extensive capabilities.

    Compliance and risk management

    Keep abreast of regulatory changes, manage policies, processes, and procedures, and build a solid framework to manage and mitigate critical risks.

    regulatory_updates

    Regulatory
    Updates

    Ruleguard has built-in functionality designed to help firms 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. 
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    Policy and Document Management

    Policy & Document Management solution helps enterprises to organise and manage policies/procedure documents centrally and facilitates collaboration between employees to ensure policies are up to date and have been acknowledged by the relevant 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 assess, quantify, remedy, report and streamline their risk management processes 
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    Incident and Breach Management

    Ruleguard users have access to a fully configurable incident and breach management solution to record, track, investigate and remedy any identified regulatory incidents/breaches and risk events and map them to the impacted rules, controls and operational processes.
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    CASS Compliance and Audit

    The platform has a suite of functional features designed primarily to enable CASS-regulated firms to evidence compliance with the requirements of the FCA’s Client Asset Sourcebook – including CASS rule mapping, Resolution Pack, ISEM, breach management  and integrated tools for audit collaboration and oversight of transfer agents.  
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    Compliance
    Monitoring

    At the core of the Ruleguard platform is a suite of functional features, user-defined workflows and questionnaires to help users to design compliance monitoring plans, test and report on the performance of controls and evaluate a firm’s overall compliance with applicable rules. 
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    Operational Resilience

    Operational
    Resilience

    Ruleguard can facilitate your planning for extreme scenarios, model your impact tolerances and identify investment gaps.  Firms can collaborate with third parties to easily identify gaps for investment and automatically create a resilience self-assessment document for board review.
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    Service Organisation Assurance Audits

    Service Organisation Assurance Audits

    Ruleguard has an integrated solution designed to enable service organisations to document their internal controls, map these to applicable control objectives in compliance with any applicable standards or requirements (e.g. AAF, SOC, ISAE); and integrated workflow solutions to streamline information sharing with auditors
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    Evidence Management and Task Lists

    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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    Client Assurance Portal

    Client Assurance
    Portal

    The Ruleguard platform facilitates the sharing of key data between firms via a secure gateway.  Firms can share specific content, allocate & track tasks to completion whilst also establishing a full audit trail.
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    Employee Compliance

    Ensure your staff understand what's expected of them, hold them to high ethical standards, and manage breaches or complaints fairly and transparently.

    Accountability Regime

    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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    Personal Account Dealing

    Personal Account Dealing

    The Personal Account Dealing module is a fully configurable workflow solution designed to provide compliance officers with a comprehensive, integrated and auditable view of all employee trading/dealing activity. 
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    Gifts and Hospitality

    Gifts and Hospitality

    The module is designed to automate, streamline  and simplify the gifts and hospitality submission, review and approval process and enables compliance departments to monitor and mitigate against any risk of misconduct and drive a culture of compliance across the enterprise.
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    Conflicts of Interest

    Conflicts of Interest

    An automated, structured software solution designed to help regulated firms to manage employee disclosures, increase transparency  and mitigate the risk of conflicts across the enterprise. 
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    Employee Attestations

    Employee Attestations

    The Employee Attestation module works in conjunction with Ruleguard’s Policy Management module to enable firms to increase policy participation, obtain employee attestation to key policies and embed a culture of compliance. 

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    Consumer duty

    Loyalty is increasingly at a premium. Give your clients a reason to stick around long term by showing them you're serious about putting their interests first.

    Product Governance

    Product Governance

    A fully configurable workflow, collaboration and document management repository to govern and monitor the lifecycle of financial products – from initial design, approval to distribution/marketing to ensure compliance with the FCA’s product governance rules. 
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    Complaints Management

    Complaints Management

    The Ruleguard Complaints Handling platform is a configurable workflow solution designed to manage the requirements of the entire complaints life-cycle from initial receipt/identification of complaint, assessment, investigation, escalation through remediation and reporting. 
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    Client File Reviews

    Client File Reviews

    An end-to-end technology solution to streamline the assessment and grading of client files against relevant FCA principles in response to the Consumer Duty Outcomes: Products and Services, Consumer Understanding, Consumer Support and Price and Value
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    Financial Promotions

    Financial Promotions

    A dedicated solution to streamline collaboration between product, marketing and compliance teams in the creation, review and approval of compliant promotional and marketing materials. 
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    Supplier Oversight

    Supplier Oversight

    Ruleguard’s integrated solution enables distributors (advisers) to automate the process of investigating and conducting due diligence reviews  on product manufacturers (investment platforms) to “avoid foreseeable harm to  retail customers in compliance with the cross-cutting rules 
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    Appointed Reps Oversight

    Appointed Reps Oversight

    In compliance with the FCA’s enhanced AR due diligence requirements, Ruleguard have developed a suite of functional features to assist principal firms in monitoring risks presented by the activities of their appointed representatives including annual compliance & self-assessments. 
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    how-it-works

    How our platform works

    See Ruleguard’s overarching benefits and learn about how the platform works.

    Meet the people behind the platform

    Want to know what it’s like to work with us? Find out about Ruleguard’s origin, meet the team and hear from our clients.

    RULEGUARD INSIGHTS

    Browse our latest insights

    We’re experts in governance, risk and compliance and we love
    sharing our knowledge and expertise. Check out our latest insights!

    Legal Clarity, Regulatory Complexity: The Motor Finance Challenge

    corporate governance,  remuneration,  conflicts,  complaints,  regulatory updates

    The Supreme Court ruled that certain commission arrangements between car dealers and lenders created an unfair relationship under Section 140A of the Consumer Credit Act 1974. This followed years of complaints about discretionary commission arrangements (DCAs), where...

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    The Future of Accountability: SM&CR Reforms

    accountability,  innovation,  regulatory strategy,  SM&CR,  regulatory updates,  UK

    “The SM&CR has driven up standards in financial services. But we want to boost competitiveness, and support growth, by streamlining the regime while preserving its benefits.” — FCA CP25/21

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