Introducing Ruleguard’s comprehensive financial compliance solutions

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Navigating today's financial landscape with expert GRC solutions

At the heart of today's dynamic financial sector, a comprehensive Governance, Risk, and Compliance (GRC) strategy is more critical than ever. As a RegTech firm specialising in the financial sector, we’re committed to providing end-to-end financial compliance solutions tailored to our clients’ unique needs.

Ruleguard’s range of services encompasses critical areas such as Accountability, Audit Management, and Client Assurance, among others, to empower and equip you to successfully navigate the complexities of the industry, with confidence and integrity.

Streamline compliance, ensure integrity

We offer an extensive suite of tools designed to revolutionise compliance monitoring, manage complaints effectively, and ensure adherence to regulatory updates. Our end-to-end GRC solutions facilitate a proactive, forward-thinking strategic approach to compliance, enabling teams to anticipate and mitigate potential issues before they escalate.

By leveraging the Ruleguard platform, Compliance professionals can uphold the highest regulatory standards, safeguarding and enhancing the reputation and operational efficiency of their organisations.

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Select from our range of financial
compliance solutions


Scroll down to see the range of financial compliance solutions our all-in-one RegTech platform offers, choose the solutions you need and discover how we can transform your capabilities.

Robust risk management

Risk management is a cornerstone of sound financial governance. Our Operational Risk and Incident & Breach Management solutions equip Risk Management teams with the insights and tools necessary to identify, assess, and mitigate risks across the organisation. By emphasising further focus on Operational Resilience, our platform enables Risk professionals to build a resilient framework, capable of enduring the challenges of a constantly evolving financial environment.

Explore Risk solutions
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Putting people first

HR departments play a vital role in fostering a culture of compliance and integrity. Our Employee Attestations and Gifts & Hospitality management solutions empower HR teams to ensure that all employees are aligned with the organisation's ethical standards and compliance requirements. Through facilitating transparent and efficient management of employee-related compliance issues, we support HR professionals in upholding a workplace that’s both ethical and compliant.

Browse HR Compliance solutions
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Complete confidence in client assets

Client asset firms face the critical task of ensuring the safety and security of client assets. Our Client Assets and Client File Reviews solutions are specifically designed to support Investment firms, Wealth Managers, and Financial Advisors in meeting their regulatory obligations, while supporting and enhancing the most rigorous client asset protection processes.

Client Assets solutions
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Unparalleled oversight in governance and operations

The Ruleguard solutions suite focuses on key areas such as Policy & Document Management, Product Governance , and oversight of Third Parties. By streamlining governance processes and enhancing operational efficiency, we empower teams to drive organisational excellence and achieve strategic goals with tools designed for effortlessly evidencing compliance.

Governance solutions
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VIP treatment for all clients

We cater to a diverse range of market sectors, including Wealth Managers, Asset Managers, Pension Funds, Hedge Funds, IFA Networks, Stockbrokers, Investment Banks, Transfer Agents, Depositories, Custodians, and other Banking areas. Our deep understanding of the specific challenges and demands of each sector enables us to deliver innovative and market-tested solutions, tailored to address the unique needs of our clients, regardless of their size or complexity.


Striving for

Our all-inclusive range of GRC solutions for financial firms is designed to enable Compliance, Risk, HR, CASS, Governance, and Operations teams across the financial sector. By partnering with Ruleguard, our clients can confidently tackle the intricacies of the financial industry: ensuring compliance, managing risks effectively, and driving operational excellence. United, we can achieve a sustainable future built on the foundations of integrity, accountability, and resilience.

What our clients say about

"Thanks so much for all of the help and support you have provided in rolling out Ruleguard and also dealing with our queries in such an awesome manner.
I know our approach hasn't always aligned to make this as straightforward as possible but you have always been willing and open to our suggestions and working with us to come to a mutual agreement which we have found really great!"


"Ruleguard is highly collaborative and seamless and not only provides a high level controls mapping overview but also granular details for each controls, risks, processes and CASS rules. Reports can be easily viewed on the tool or extracted as an excel file.
The monitoring of clients’ controls framework has been very efficient since implementation and the team at Ruleguard are very solution oriented and always reply back promptly for any queries/issues."


"Ruleguard is a great tool that helps us keep on top of CASS compliance and the interactions with our Third Party Administrators.
 The functionality within Ruleguard continues to grow enabling us to improve the quality of our CASS documentation, controls assurance, MI and oversight whilst remaining efficient and supporting the annual CASS audit."

Royal London

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