Platform

Back
Platform

Our Platform Ruleguard Technology

Compliance and
risk management

Regulatory
Updates Client Assets
Compliance & Audit Policy and Document
Management Compliance
Monitoring Operational Risk
Management Operational
Resilience Evidence Management
and Task Lists Service Organisation
Assurance Audits Client
Assurance Portal Incident and Breach
Management

Employee
compliance

Accountability
Regimes Personal
Account Dealing Gifts and
Hospitality Conflicts
of Interest Employee
Attestations

Consumer
duty

Product
Governance Financial
Promotions Complaints
Management Supplier
Oversight Client File
Reviews Appointed Reps
Oversight

See the Ruleguard platform in action
Discover

Operational Resilience: Protect Investors & Enhance Compliance
Register Now

Operational Resilience: Adapt, Respond & Recover
Read more
Your Compliance

Back
Your Compliance

Browse all
Solutions
by Sector

Asset Management

Ease your firm’s risk of non-compliance

Banking

Innovative and robust banking compliance tools

Funds

Automate key tasks and boost transparency

Insurance

Track, monitor and prove compliance with ease

Pensions

Bolster your audit preparation and oversight

Wealth Management

Make compliance your competitive advantage

Solutions
by Function

Risk

Prevent misconduct with enterprise risk management

Compliance

Give your team greater visibility and control

Human Resources

Streamline HR compliance and reduce admin

Governance

Your golden source of truth for governance

Operations

Minimise duplication, bottlenecks and inefficiency

Operational Resilience: Protect Investors & Enhance Compliance
Register Now

Best Practice in Third Party Risk Management
Read Now
About

Back
About

About Ruleguard

Discover Ruleguard's origin, journey and vision

Our Team

Meet the great team behind the Ruleguard platform

Partners

Explore Ruleguard’s key strategic partnerships

Work With Us

Ruleguard Careers

Ruleguard News

Read our latest company news

Success Stories

Read our success stories

Operational Resilience: Protect Investors & Enhance Compliance
Register Now

SM&CR: Enhancing Ethics, Accountability & Culture
Read more
Insights

Back
Insights

Thought Leadership FAQs

Webinar
Operational Resilience: Protect Investors & Enhance Compliance
WEBINAR
Financial Crime: Preventing Market Abuse
WEBINAR
Risk Management: Tactics for Digital Assets
WEBINAR
Regulatory Updates: Blueprint for Success
WEBINAR
The Secret to Successful Product Governance
WEBINAR
Understanding the impact & implementation of the UK’s Consumer Duty
White paper
Operational Resilience: Adapt, Respond & Recover
White paper
Best Practice in Third Party Risk Management
White paper
Guide to the FCA’s Strategy

Operational Resilience: Protect Investors & Enhance Compliance
Register Now

Operational Resilience: Adapt, Respond & Recover
Read more
Enquire

Ruleguard’s regulatory insights & resources

Dive deep into compliance mastery and enjoy browsing through our exclusive, extensive regulatory insights and resource library tailored for Financial Services.

Gain unparalleled access to cutting-edge insights, articles, and the latest trends impacting governance, risk, and compliance (GRC). Our webinars, white papers, and podcasts are brimming with expert knowledge, practical tips, and strategic guidance.

Join our mailing list and keep up with the latest regulatory updates!

Stay ahead of the game with Ruleguard. Subscribe to our mailing list and get regulatory insights and resources straight to your inbox.

Webinars White papers Blogs Case Studies Infographics Videos

Blogs

AIFs | 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.

Transparency & Transfer Agents

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...

Read More