Ruleguard

Overview

Ruleguard is a governance, risk and compliance platform built only for regulated financial services, and it now presents itself as an agentic one. Intelligent agents, described as digital team members trained on regulatory knowledge and the firm's own policies, read documents, apply rules, check for gaps, flag risks and produce audit ready evidence continuously rather than at quarterly snapshots. Roughly twenty modules sit on a shared evidence and task layer, spanning client asset compliance, compliance monitoring, audit management, incident and breach management, operational resilience, operational risk, policy and document management, regulatory change and service organization assurance, alongside accountability regimes, conflicts of interest, employee attestations, gifts and hospitality and personal account dealing, and a conduct set covering appointed representatives, client file reviews, complaints, Consumer Duty, financial promotions, product governance and supplier oversight. The company publishes four claims about how it governs its own artificial intelligence: ISO 27001 certification independently verified and ISO 42001 compliance audited by the British Standards Institution, permanent recording of every agent decision, data source and output, configurable oversight checkpoints where the customer sets the level of autonomy, and a choice between frontier cloud models and an on premises deployment. Data hosting is offered across the United States, United Kingdom, European Union and Asia Pacific. Ruleguard was founded in 2013 in the United Kingdom by John O'Dwyer as a software development consultancy, built its first platform in 2015 for the incoming client assets rules, and raised 3.5 million pounds from Foresight Group in 2022. It states that its customers include tier one banks, global insurers and leading wealth managers.

Details

Similar Tools

• Acin Risk, Fraud & Compliance
• Adclear Risk, Fraud & Compliance
• ADVANCE.AI Risk, Fraud & Compliance
• AiPrise Risk, Fraud & Compliance