Ruleguard’s regulatory insights & resources

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Blogs

Peruse our blogs for the latest, fresh perspective on navigating the maze of global regulations and upcoming milestones. This is your shortcut to staying ahead, packed with insights and expert tips from the forefront of GRC innovation. (3)

Cryptoassets: Why be concerned?

assessments, FCA, risk management, PRA, ESA, digital assets, cryptoassets

In recent years, the term cryptoassets has slowly crept into our vocabulary. It’s a hot topic for debate and in the past few weeks, we’ve seen various countries and regions issuing guidance and warnings to both regulated firms and the public. What are cryptoassets?...

Sustainable Investing

governance, ESG, Responsible investment, sustainability, SDR, Stewardship, SFDR, sustainable disclosures

In October 2021, the UK government published its roadmap for sustainable investing. In the previous month, it had raised £10 billion for green projects via its first green gilt, which launched the UK’s green financing programme. How can firms help? Financial Services...

Assess & Prove Competence

governance, accountability, culture, corporate governance, oversight, Code of Conduct, SM&CR, competence, audit trail

The Senior Managers & Certification Regime (SM&CR) was first introduced in 2016 for banks and then phased in until it was finally extended to include the remaining regulated firms at the end of 2019. SM&CR aims to encourage greater accountability within firms whilst...

MiFID II Quick Fixes

FCA, disclosures, conflicts, transparency, RTS28, inducements, communications, RTS27, ESMA, research, MIFID II, best execution

The FCA’s policy ( PS21/20 ) outlined its changes to COBS research rules as well as the removal of the best execution reporting in RTS 27 and RTS 28. These changes are part of a wider review of the Capital Markets by the FCA and HM Treasury. The Government wishes to...

Transparency & Transfer Agents

governance, third parties, oversight, breach management, risk management, CASS, client assets, audit trail, outsourcing, transfer agents, AIFs, UCITS Funds, depositaires

Prior to AIFMD and UCITS V, transfer agents (TAs) were unknown, however the need for greater transparency and trust has raised their profile. Transfer agents play an important role in financial services. They fulfil a number of functions such as maintaining and...

Governance & Workplace Pensions

governance, third parties, FCA, pensions, oversight

Key Insights on Effective Governance for Workplace Pensions Governing bodies have a duty to fulfil in providing oversight. What does that mean for workplace pensions? For workplace pensions, the bodies tasked with this oversight are the Independent Governance...

Operational Resilience: Countdown begins, are you ready?

governance, third parties, operational resilience, impact tolerances

The FCA hosted a live event providing feedback to the industry regards preparation for the March 2022 deadline. During the session, representatives from both the FCA and PRA presented feedback and responded to industry queries. The regulators were keen to remind...

How well do you know your Appointed Representatives?

governance, third parties, assessments, oversight, risk management, monitoring, due diligence, competence, appointed representatives

In December 2021, the FCA published its proposals for improving the oversight of appointed representatives. Regulatory expectations: The FCA is looking to reduce harm to consumers by strengthening the appointed representatives regime. From its thematic reviews of...

What will 2022 hold for Financial Services?

FCA, Regulatory initiative grid, regulatory strategy

The FS Regulatory Initiatives Forum is still relatively new. In our earlier publication , we reviewed this collaborative approach towards financial services in the UK. The aim is to coordinate efforts to help firms manage regulatory change. In November 2021, the Forum...

ESG: Positive, Sustainable Change

corporate governance, COP26, ESG, trust, sustainability, SDR, transparency, sustainable disclosures

In November, the Financial Conduct Authority’s CEO, Nikhil Rathi delivered a speech at the United Nations Climate Change Conference (COP26). His speech highlighted the need for a strategy that encourages positive and sustainable change. The FCA’s strategy supports the...

Tips to create risk ownership within your firm

governance, culture, breach management, risk management, monitoring, issues, TCF

Strategies for Establishing Risk Ownership in Your Firm One of the fundamental obligations applicable to all regulated firms is the need to implement appropriate processes to manage risks. But how do we encourage our staff to take responsibility and raise issues...

Operational Resilience: Why is it so important for insurers?

accountability, risk management, operational resilience

L ike banks, insurers operate on a large scale and globally, but by their very nature, insurers are exposed to more risks than the average bank, wealth manager or other regulated firms. This is because insurers support the economy by transferring the risks that we face...

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