Ruleguard’s regulatory insights & resources

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Blogs

accountability | 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. (2)

Accountability in Financial Services

governance, accountability, SM&CR, MIC regime, FAR, BEAR, SEAR

Since the financial crisis of 2008 regulators worldwide have been introducing reforms to improve individual accountability within firms. Regulators were criticised for their lack of action and not preventing the crisis. Further criticism was aimed at firms’ failings...

Operational Resilience: Why Setting International Standards is Crucial

third parties, accountability, corporate governance, oversight, risk management, operational resilience, monitoring, audit trail, BCBS, IOSCO

We’re all aware that operational resilience requires an holistic view of a firm’s operations. The Financial Services industry operates globally and requires a coordinated effort to establish a resilient framework. Current work to improve resilience focuses on being...

Creating Resilient Payment Services

governance, third parties, accountability, assessments, corporate governance, oversight, breach management, operational resilience, monitoring, SM&CR, data sharing

This was the view of the Payment Systems Regulator (PSR) back in 2015 when the PSR was still relatively new. Six years later and it’s fair to say that payments systems are even more critical today. It’s a message echoed by the Bank of England (BoE) and evidenced by the...

FMIs, Get set for SM&CR

accountability, SM&CR, certification, conduct rules

HM Treasury issued a consultation earlier in July. The proposals signal HMT’s intention to extend the Senior Managers & Certification Regime (SM&CR) to include Financial Market Infrastructures (FMIs). Interested parties should submit their responses by 22 October 2021....

HR & Compliance – Bridging the Gap in SMCR

governance, accountability, culture, SM&CR, competence

Since the introduction of the Senior Managers and Certification Regime (SM&CR), it has been interesting to see how and where firms have allocated most of their resources to comply with the new rules. Implementation tends to follow one of two strategic approaches:...

SMCR Responsibilities – Documenting Risks and Controls

governance, accountability, culture, corporate governance, SM&CR, competence

In light of the turbulence caused by the Covid-19 pandemic, SMCR may have been pushed down the priority list for most firms for now. The disruption has however given rise to a number of practical and compliance challenges which have a direct and imminent impact on...

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