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Rathbones Asset Management Success Story - Client Asset Compliance, Risk Mapping and Transfer Agent Oversight

CASE STUDY

Rathbones Asset Management (RAM) is an active management house, offering a range of investment solutions to meet clients’ capital growth and income requirements. The use of Ruleguard is primarily based on third-party oversight, as the firm outsources its Transfer Agency, Fund Accounting and Dealing.

The Challenge

Learn how Rathbones implemented Ruleguard's Client Assets Compliance Solution to streamline their CASS compliance, enhance third-party oversight, and eliminate manual processes.

Key challenges faced by the Client:

  • Establishing a documented and efficient CASS control environment
  • Ensuring compliance with SYSC 8, particularly in outsourced administration
  • Improving governance and oversight synergies
  • Developing a paperless, real-time control environment for attestations, MI, and breach management

Find out how Rathbones implemented Ruleguard's Client Assets Compliance Solution and achieved: 

  • Seamless CASS risk mapping and CASS Resolution Pack (RP) integration
  • Time-stamped digital attestations and real-time MI dashboards
  • Automated rule feeds and breach logs linked to the control environment
  • A customised third-party oversight framework (SYSC 8, COLL & COBS)

Download the full case study to read more!