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Compliance Workflows
The compliance lifecycle,
automated
Six core workflows that take regulated firms from initial regulatory scoping through risk assessment, control design, ongoing assurance, and board-level reporting - each powered by intelligent agents.
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No sales pitch
30-min walkthrough
ISO 27001
Container (1)
Stage 01

Strategic Planning

Scan the horizon, prioritise action - Agents continuously monitor the regulatory landscape and surface what matters to your firm.
Regulator Radar
Urgent
Basel IV
MiFID III
ESG Regs
FCA Update
DORA
High
Medium
Low
Prioritised Action Plan
5 ITEMS
1
DORA compliance gap analysis
high
Operational resilience tight 2026 deadlines
2
FCA policy update review
high
Latest policy statement requires reassessment.
3
Basel IV capital modelling
medium
Capital modelling refresh – 12-month plan.
4
MiFID III reporting preparation
medium
Reporting changes – preparation phase.
5
ESG disclosure framework
low
Disclosure framework – under review.
Component 1 (2)-2
HORIZON

Horizon Scanning

Continuous monitoring of regulatory developments across jurisdictions. Changes are tracked classified and prioritised automatically.
Component 1 (3)-1
IMPACT

Impact Assessment

Agents assess regulatory changes against your firms policies, processes and controls, producing prioritised action plans.
Component 1 (4)
SCENARIO

Scenario Modelling

Model the impact of proposed regulatory changes before they take effect. Understand resource implications and timeline requirements.
Component 1 (5)
PRIORITY

Prioritised Actions

From critical and urgent, to low priority monitoring items - every regulatory development is categorised and tracked to resolution.
See The Applicability Map
02 STAGE 02

Applicability by Regime

Map regulations to your business. Agents suggest which regulatory requirements apply to which business activities across your organisation based on your organisation structure and permissions - agents suggest, you decide. 
Regulatory Applicability Matrix
Tap a row or column to filter
✓ Applicable
— Not applicable
REGULATION
Retail Banking
Wealth Mgmt
Asset Mgmt
Treasury & Markets
Insurance
FCA SYSC
✓
✓
✓
✓
MiFID II
✓
✓
✓
Basel III/IV
✓
✓
DORA
✓
✓
✓
✓
✓
ESG / SFDR
✓
✓
✓
Component 1 (2)-3
Mapping

Regulatory Mapping

Suggested mappings of regulatory requirements to business lines, products, and activities. Gaps and overlaps highlighted for your review.
Component 1 (3)-2
JURISDICTIONS

Multi-Jurisdiction

Handle requirements across multiple regulatory authorities simultaneously. One view of your total regulatory perimeter.
Component 1 (4)-1
CHANGE

Change Propagation

When regulations change, the applicability matrix updates automatically. New requirements are flagged across all impacted areas.
Component 1 (5)-1
EVIDENCE

Evidence Trail

Every applicability decision is documented with the rationale, the source regulation, and the business context that informed it.
Every applicability decision is reviewed and approved by your compliance team before it takes effect.
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03 Stage 03

Risk & Control Assessment

Evaluate risks. Validate controls. Agents systematically assess your control environment against regulatory requirements.
Risk and Control Heatmap
Critical
High
Medium
Low
Rare
Unlikely
Possible
Probably
Likely
LIKELIHOOD
IMPACT
R-04
CRITICAL

Third-Party ICT Risk

Gap identified - remediation needed
SOURCE
DORA Art. 28
DUE
Q2 2026
OWNER
CISO
R-12
HIGH

AML Transaction Monitoring

Control weakness – review recommended
SOURCE
MLR 2017
DUE
Q3 2026
OWNER
MLRO
R-07
LOW

Data Privacy Controls

Strong control – no action required
SOURCE
UK GDPR
REVIEWED
Reviewed Jan 2026
OWNER
DPO
Component 1 (6)
ASSESSMENT

Risk Identification

Systematic identification and categorisation of compliance risks. Each risk linked to specific regulatory requirements and business activities.
Component 1 (7)
CONTROLS

Control Mapping

Map controls to risks and regulations. Agents identify gaps, redundancies, and areas where control effectiveness needs validation.
Component 1 (8)
TESTING

Control Testing

Automated and structured control testing with evidence collection. Results feed directly into your risk and control assessments.
Component 1 (9)
REPORTING

RCSA Automation

Risk and Control Self-Assessment workflows run continuously. Your risk register is always current, comprehensive, and audit-ready.
Risk and Control Self-Assessment workflows run continuously, with your risk team reviewing and approving results at every cycle.
See How Controls Are Assessed
STAGE 04

Policy & Control Refinement

Update policies. Strengthen controls. Agents identify where policies need updating and track changes through approval workflows.
BEFORE: AGENT v2.3

Incident Response Policy

Last updated: 15 Nov 2025 · Status: Active
3.1
Response Timeframes
Critical incidents must be escalated within 5 business days of initial detection.
3.2
Review Frequency
Control effectiveness reviews shall be conducted on a quarterly basis.
3.3
Monitoring & Alerts
Manual threshold checks to be performed by the operations team during business hours only.
[No automated monitoring specified]
APPROVAL FLOW

Outsourcing Policy v3.4

AI Agent
2h ago
Drafted update from DORA Art. 28(3)
Risk Team
40m ago
Internal review & comments
Head of Compliance
Awaiting
Approve material change
Board Risk Committee
Queued
Final sign-off
AFTER: AGENT v2.4

Incident Response Policy

Updated: 10 Mar 2026 · Status: Draft · Agent Recommended
3.1
Response Timeframes
Critical incidents must be escalated within 2 business days of initial detection.
3.2
Review Frequency
Control effectiveness reviews shall be conducted on a monthly basis.
3.3
Monitoring & Alerts
Manual threshold checks to be performed by the operations team during business hours.
3 changes recommended · Compliance score: 72% -> 94% · Risk reduction: 2 items resolved
APPROVAL FLOW

Outsourcing Policy v3.4

AI Agent
2h ago
Drafted update from DORA Art. 28(3)
Risk Team
40m ago
Internal review & comments
Head of Compliance
Awaiting
Approve material change
Board Risk Committee
Queued
Final sign-off
Component 1 (10)
DRAFTING

Policy Gap Analysis

Agents continuously check policies against current regulatory requirements and flag where updates are needed.
Component 1 (11)
CONTROLS

Tracked Changes

Agent-recommended policy updates with full version control. Every change is tracked, attributable, and reversible.
Component 1 (12)
GOVERNANCE

Approval Workflows

Structured approval processes route changes to the right reviewers. Sign-off at every stage is captured and evidenced.
Component 1 (13)
ALIGNMENT

Distribution & Acknowledgement

Updated policies are distributed automatically to affected staff, with acknowledgement tracking built in.
Agents draft. Your compliance and legal teams approve. Nothing changes without human sign-off.
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STAGE 05

Continuous Assurance

Prove compliance. Continuously. Automated and manual assurance methods — all feeding into a single, unified view.
ASSURANCE EVIDENCE COLLECTION

Two channels · one unified view

Refreshed continuously
AUTOMATED ASSURANCE

API Endpoint

RESTful data feeds
Real-time · Structured

System Log

Audit trail ingestion
Continuous · Immutable

Webhook Feed

Event-driven triggers
Push-based · Automated
COLLECTED
automatically
MANUAL ASSURANCE

Attestation Form

Self-certification evidence
Periodic · User-submitted

Workflow Approval

Multi-stage sign-off
Sequential · Auditable

Checklist

Step-by-step verification
Guided · Structured
COLLECTED
manually
UNIFIED ASSURANCE DASHBOARD
All evidence in one view
3
AUTOMATED SOURCES
3
MANUAL SOURCES
100%
CONTROL FRAMEWORK
LIVE
Component 1 (14)

Automated Assurance

API integrations, webhook feeds, and system logs flow automatically into the platform. Real-time compliance data without manual effort.
Component 1 (15)

Manual Assurance

Attestation forms, checklists, and workflow approvals for processes that require human judgement or physical verification.
Component 1 (16)

Unified Dashboard

All evidence - automated and manual, visible in one place. Complete picture of your compliance posture at any moment.
Component 1 (17)

Continuous Monitoring

Compliance status updated in real time. Deviations trigger alerts immediately, not at the next quarterly review.
Automated evidence is validated by your team. Manual attestations capture what only humans can verify.
See How Evidence Feeds Into Reporting
Stage 06

Evidence & Reporting

Report to those who need to know. Tailored outputs for committees, boards, auditors, and regulators - all from a single evidence base.
governance icon

Governance

  • Committee packs
  • Risk summaries
  • Action tracking
AUTO-GEN
board icon

Board

  • Board reports
  • KRI dashboards
  • Trend analysis
AUTO-GEN
audit icon

Auditor

  • Audit trails
  • Evidence packs
  • Control testing
ON-DEMAND
Overlay (3)

Regulator

  • Regulatory returns
  • Data submissions
  • Compliance evidence
SCHEDULED
Background (1)
Ruleguard Platform
Evidence Engine
Centralised compliance intelligence
board card icon
BOARD

Board Reporting

Board reports, KRI dashboards, and trend analysis. Clear, concise, and always current.
regulator card icon
REGULATOR

Regulatory Returns

Data submissions, regulatory returns, and compliance evidence. Structured for each regulator's requirements.
audit card icon
AUDITOR

Audit Evidence

Immutable, time-stamped record of every decision and approval. When the regulator asks, you have the answer in seconds.
governance card icon
GOVERNANCE

Governance Committees

Committee packs, risk summaries, and action tracking. Everything your governance committees need, assembled automatically.
Your agents learn from your team's corrections, your policy updates, and your outcome reviews. The intelligence is yours, the agent just scales it.
The Platform Behind The Workflows
SEE IT IN ACTION

See the full compliance lifecycle in action.

Book a demo and discover how Ruleguard's agents automate the compliance lifecycle, from strategic planning to board reporting.
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No sales pitch - 30-minute tailored walkthrough - ISO 27001 certified