CASS Compliance, Risk Mapping and Transfer Agent Oversight
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.
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Breach Management, Checklists and Control Testing
A London-based asset management firm with £631 Billion assets under management (AUM); the firm is classified as a large CASS firm as per the FCA’s classifications and is the asset management arm of a large Japanese banking group, servicing both retail and institutional investors.
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CASS Compliance and Transfer Agent Oversight
A UK-based investment management company with more than £50 Billion assets under management (AUM). The firm is a FTSE 250 company listed on the London Stock Exchange.
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