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

governance | 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.

Navigating the AI Frontier: A Regulatory Journey

governance, third parties, accountability, corporate governance, risk management, regulatory strategy, monitoring

“Depending on who you speak to, AI could either lead to the destruction of civilisation, or the cure for cancer or both. It could either displace today’s jobs or enable an explosion in future productivity. The truth probably embraces both scenarios. At the FCA we are...

Are you ready for the Consumer Duty?

governance, third parties, accountability, assessments, wealthmanagement, consumerduty, systems and controls, compliance, culture, corporate governance

Following the initial milestone of 31st October 2022, the FCA reviewed a sample of the implementation plans from some of the larger firms operating in the UK. These were firms deemed to be of higher risk as they operate in the retail market and could impact both...

CAR 2022: What should you focus on?

governance, accountability, corporate governance, risk management, funds, CAMP, audit, CASS, client assets

The Irish Client Asset Regulations (the CAR) were introduced to inspire public confidence and protect investors if an investment firm became insolvent. Revisions were made to the CAR in 2015 and today, we see Ireland preparing for further enhancements with the...

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...

What is the new Consumer Duty?

governance, consumerduty, FCA, disclosures, complaints, audit trail

The FCA states that the Consumer Duty aims to “ensure a higher and more consistent standard of consumer protection for users of financial services and help to stop harm before it happens” The new Consumer Duty requirements are due to be finalised in July. It comes at a...

How effective governance aids complaints handling

governance, corporate governance, complaints, audit trail

Discover the impact of effective governance on complaints handling All regulated firms must have a process for handling complaints. Its purpose is to ensure that customer complaints are dealt with effectively, expediently and appropriately. Firms were reminded of this...

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...

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...

See the Ruleguard platform in action

Ruleguard’s regulatory insights & resources

Blogs