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Ruleguard’s regulatory insights & resources

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Blogs

systems and controls | 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.

Are you ready for the Consumer Duty?

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...

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What type of complaint currently has the highest FOS upheld rate?

What type of complaint currently has the highest FOS upheld rate?

systems and controls,  FCA,  breach management,  complaints,  issues,  insurance,  FOS,  scam

The FCA’s Sarah Pritchard (Executive Director, Markets), recently delivered a speech announcing the FCA’s intention to undertake a review of the investment advice rules. Whilst the industry might welcome this review, how does this relate to the FOS? The FOS published...

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Prevent bribery occurring on your watch

Prevent bribery occurring on your watch

systems and controls,  compliance,  FCA,  bribery,  monitoring,  audit

The Bribery Act 2010 updated former outdated legislation. The Act explains bribery & sets out various offences under the Act: Being bribed Bribing foreign public officials Failing to prevent bribery Making facilitation payments The Act defines Bribery as an act...

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