Ruleguard’s regulatory insights & resources

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Blogs

outsourcing | 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

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...

CASS Firms: Focus on Resilience

governance, third parties, CASS, client assets, resolution pack, outsourcing, client money

In 2020 the FCA issued three Dear CEO letters. The letters were a reminder to firms of the obligations relating to client assets and client money. FCA reminded firms of the importance of maintaining adequate measures to protect client money and assets in the current...

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...

Operational Resilience – Is Outsourcing on your Radar?

governance, third parties, oversight, risk management, operational resilience, SM&CR, outsourcing

With the publication of final policy statements there is a clear message that firms must look externally at third party relationships as part of their Operational Resilience framework. The requirements are designed to promote stronger and more effective governance of...

An Overview of Operational Resilience

governance, third parties, oversight, operational resilience, audit trail, outsourcing

Operational Resilience has been a hot topic in the UK for a number of years and has gathered momentum recently as the supervisory bodies issued final requirements and firms now prepare for implementation by March 2022. In 2017, Charlotte Gerken, then Director of...

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