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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
Ruleguard’s Personal Account Dealing compliance software demystifies the FCA's COBS, MAR and MiFIR rules, ensuring your firm's employees are transparent, conflict-free, and aligned with market integrity principles.
Simple and fast notifications
Automate the request and declaration process for personal trades, enabling quick and compliant notification, and maintaining a robust defence against market abuse risks.
Proactive compliance
Ruleguard helps you cultivate a culture of compliance with your firm’s policies and procedures. Compliance teams will be able to identify conflicts of interest, insider trading or market manipulation with ease.
Complete oversight
From pre-trade approvals to post-trade analyses, the Ruleguard platform offers a complete solution for monitoring and managing personal account dealings, ensuring every transaction is in line with your firm’s ethical standards.
Safeguarding your reputation
Demonstrate that the notification and approval process is embedded in your firm’s DNA. We make it easy for staff to create notifications, to protect your firm’s reputation at all times with our customised stop lists to tailor the rules to your firm around transparency and integrity.
Ruleguard transforms the complexity of personal account dealing compliance into a streamlined, efficient process, reinforcing trust and integrity at every step. Our dedicated Personal Account Dealing register stores all your data in one place. Get in touch to learn more about the solution.
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The Personal Account Dealing module is a fully configurable workflow solution designed to provide Compliance Officers with a comprehensive, integrated and auditable view of all employee trading/dealing activity.
