Ruleguard’s regulatory insights & resources

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data sharing | 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.

It's time we discussed Pension Dashboards

third parties, FCA, pensions, oversight, risk management, audit trail, data sharing, pensiondashboards, MaPS, TPR

Whether you work in the pensions sector, or not, everyone needs to understand what Pension Dashboards are, and what it means for you personally. With the draft Pension Dashboard Regulations 2022 published earlier in 2022, we now see a large scale collaboration between...

Trustees: The September deadline is looming. Are you ready?

governance, third parties, accountability, corporate governance, pensions, monitoring, trusts, audit trail, data sharing

From the 1 September 2022, most trusts will need to be registered with HMRC. There are a few exceptions. This follows a 12-month transition period. What’s changing and why? Back in 2017, you may recall that the UK set up the Trust Registration Service (TRS) to fulfil...

Operational Resilience: Don't forget Cyber Resilience!

third parties, assessments, operational resilience, audit trail, data sharing, cyber resilience

The FCA published a cyber resilience questionnaire cross sector report in 2018 and its findings are still relevant today. The cross sector report highlighted that the following points were top of the agenda for many firms: Concerns around cyber resilience Improving...

Discover the benefits of CASS audits

third parties, assessments, audit, CASS, data sharing

Whilst it is not the regulator’s objective to prevent firms from failing, where a firm does fail, the aim is to manage this in an orderly manner. Hence the basic capital resources requirement for all regulated firms. The regulator aims to avoid disorderly failure,...

How to Demonstrate Good Governance

governance, culture, corporate governance, monitoring, controls, communication, audit trail, data sharing

How well can your firm demonstrate effective systems and controls? Corporate Governance isn’t just about who sits on your board and how often the board meets. It’s about the systems and controls as well as the standards set within a firm. It’s about ensuring that the...

Better Breach Management

third parties, culture, breach management, risk management, issues, data sharing

A firm’s operational error log can provide a great deal of information about its compliance culture. Consider the following: Is it always the same individuals recording all the issues? Has the log remained untouched for several months? Are the identified issues...

Tips for Effective Compliance Monitoring

assessments, monitoring, audit trail, data sharing

All regulated firms are obliged to conduct compliance monitoring. The compliance function is required to monitor and test compliance by performing sufficient and representative compliance testing. Then the results are reported up through the compliance reporting line...

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...

Building Resilient Third Party Chains

governance, third parties, oversight, operational resilience, data sharing, outsourcing, EBA

Both the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) require firms to identify and manage their risks. Over the years we’ve seen both regulators focus on outsourced and third party arrangements. Current efforts to build a more...

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