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Financial Crime: Preventing Market Abuse
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Financial Crime: Preventing Market Abuse
WEBINARRisk Management: Tactics for Digital Assets
WEBINARRegulatory Updates: Blueprint for Success
WEBINARThe Secret to Successful Product Governance
WEBINARUnderstanding the impact & implementation of the UK’s Consumer Duty
WebinarAccountability: Satisfying global standards
White paperOperational Resilience: Adapt, Respond & Recover
White paperBest Practice in Third Party Risk Management
White paperGuide to the FCA’s Strategy
Client File Reviews is an end-to-end solution designed to streamline the assessment and grading of client files against relevant FCA principles, in response to the Consumer Duty Regulations.
Triggered precision
The Ruleguard platform enables you to initiate reviews through periodic checks, thematic evaluations, or client feedback, ensuring comprehensive oversight and continuous improvement in service quality.
Streamlined process
Leverage a multi-phase approach for advice, quality assurance, and compliance checks, supported by periodic audits for unmatched diligence and reliability.
Regulatory excellence
Navigate complex regulatory landscapes with ease, ensuring your firm adheres to precise requirements for disclosures, risk warnings, and documentation across multiple jurisdictions.
Proactive oversight
Adopt a culture of excellence, embedding a compliance-first approach within your firm, from policy and documentation management, to robust product governance, and operational risk management.
Ruleguard's Client File Reviews solution transforms the traditional review process into a dynamic, efficient, and comprehensive compliance journey, ensuring excellence in client service and regulatory adherence. Whether your file review is triggered by Section 166, third-party oversight or complaints, be ready to demonstrate a full audit trail with Ruleguard.
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Our end-to-end RegTech solution streamlines client file assessment and grading against relevant FCA principles in response to the Consumer Duty outcomes.
