Accountability
Regimes

Experience uncomplicated accountability

Ruleguard’s Accountability Regime software enables you to easily define and assign top-level management responsibilities within your firm, ensuring clarity and adherence to global financial standards like the UK's SM&CR, Ireland’s SEAR and Australia's FAR.

Benefits of our Accountability Regime solution

The comprehensive Accountability Regime solution, part of Ruleguard GRC software, helps you meet the requirements of various accountability responsibilities and remain compliant.

Streamlined processes

Automate the identification of key roles, maintain up-to-date records of responsibilities, and ensure ongoing fitness and propriety assessments with minimal hassle.

Transparent governance

Promote a culture of transparency and responsibility, embedding ethical conduct and professional integrity at the core of your operations.

Comprehensive oversight

Gain detailed insights and oversight of assigned responsibilities and regulatory compliance, supporting executive management in maintaining a robust governance framework.

Streamline compliance for international accountability regimes

Ruleguard helps you centralise and automate compliance processes to meet the requirements of individual accountability regimes, reducing manual work and minimising regulatory risk.

Demonstrate adherence

Customise your organisation chart within Ruleguard, to accurately reflect reporting lines and responsibilities, capturing matrix reporting across multiple entities and jurisdictions.

Automated efficiency

Leverage automated workflows for suitability assessments, significantly reducing the administrative burden and ensuring continuous compliance.

Flexibility and support

Ruleguard adapts to your firm's unique structure, offering import options for staff data and customisable workflows to meet specific regulatory requirements.

From Compliance to Culture: Embedding Accountability

Watch on our on demand webinar on individual accountability, ethics and conduct in financial services.

The Future of Accountability: SM&CR Reforms

The SM&CR was originally introduced to improve accountability and culture in financial services.

A Shared Vision: Accountability in the UK and Ireland

In recent years, the push for greater individual accountability in financial services has become a defining theme in regulatory reform across both the United Kingdom and Ireland

Accountability Regime solution from Ruleguard

A fully configurable solution designed to streamline compliance with the requirements of the international accountability regimes including: Senior Managers and Certification Regime (SM&CR) in the UK, Senior Executive Accountability Regime (SEAR) in Ireland, Individual Accountability and Conduct (IAC) in Singapore, Manager in Charge (MIC) in Hong Kong, Financial Accountability Regime (FAR) in Australia.

Requirements supported include: fitness & propriety and T&C assessments, certification, MRMs, SORs and individual conduct breaches.