Ratings and Reviews 0 Ratings

Total
ease
features
design
support

This software has no reviews. Be the first to write a review.

Write a Review

Ratings and Reviews 0 Ratings

Total
ease
features
design
support

This software has no reviews. Be the first to write a review.

Write a Review

Alternatives to Consider

  • Predict360 Reviews & Ratings
    18 Ratings
    Company Website
  • Qualio Reviews & Ratings
    858 Ratings
    Company Website
  • Skillcast Reviews & Ratings
    1,105 Ratings
    Company Website
  • Captain Compliance Reviews & Ratings
    198 Ratings
    Company Website
  • SDS Manager Reviews & Ratings
    4 Ratings
    Company Website
  • Interfacing Integrated Management System (IMS) Reviews & Ratings
    66 Ratings
    Company Website
  • Native Teams Reviews & Ratings
    629 Ratings
    Company Website
  • AlsoThere Reviews & Ratings
    1 Rating
    Company Website
  • RegDesk Reviews & Ratings
    19 Ratings
    Company Website
  • 8am Reviews & Ratings
    1,136 Ratings
    Company Website

What is Ruleguard?

Ruleguard emerges as a leading RegTech solution designed to empower financial services firms in optimizing their risk and compliance processes. By seamlessly merging advanced technology with extensive regulatory expertise, Ruleguard supports organizations in fulfilling their obligations within complex frameworks such as CASS, SM&CR, financial crime legislation, and broad risk and compliance mandates. Engineered for adaptability and scalability, Ruleguard offers out-of-the-box solutions aimed at eradicating operational inefficiencies, minimizing risk exposure, and staying responsive to the ever-evolving regulatory environment. The platform boasts an intuitive interface that enables firms to streamline compliance operations, automate critical tasks, and gain actionable insights, resulting in substantial time and resource savings during audits and regulatory submissions. Furthermore, Ruleguard's dedication to ongoing enhancement guarantees that organizations consistently stay ahead in their compliance initiatives, fostering a proactive rather than reactive approach to regulation. This focus on innovation not only strengthens compliance frameworks but also builds a culture of accountability and transparency within the organizations that utilize it.

What is FIS Trading Compliance Manager?

The FIS Trading Compliance Manager serves as a comprehensive, web-based tool designed for regulatory surveillance and compliance across various asset classes, specifically tailored to help sell-side financial institutions detect, monitor, and resolve potential trading violations throughout the entire order lifecycle by integrating alerts with rich market and client insights. This cutting-edge platform offers robust trade surveillance, regulatory reporting, and supervisory controls, which support daily assessments, post-trade reviews, best execution evaluations, and compliance with regulations such as RegNMS, RegSHO, and market manipulation laws, while also fulfilling data requests including Electronic Blue Sheets (EBS) and OATS. By creating a centralized, permission-based system, it significantly improves oversight capabilities, mitigates risks, and streamlines manual processes for organizations. Additionally, the platform's capacity to present a comprehensive view of order placements and trading practices, paired with effective alert systems and integrated data storage solutions, enables firms to refine their compliance workflows, enhance the integrity of execution data, improve management reports, and reduce reputational risks throughout their operations. Moreover, this solution plays a crucial role in helping firms navigate the complex terrain of trading compliance, ensuring they remain proactive and well-prepared in an ever-evolving regulatory environment.

Media

Media

Integrations Supported

CourseStorm
Tecnomatix

Integrations Supported

CourseStorm
Tecnomatix

API Availability

Has API

API Availability

Has API

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Company Facts

Organization Name

Ruleguard

Date Founded

2013

Company Location

United Kingdom

Company Website

www.ruleguard.com

Company Facts

Organization Name

FIS

Date Founded

1968

Company Location

United States

Company Website

www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager

Categories and Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

Categories and Features

Popular Alternatives

Popular Alternatives

Validus Reviews & Ratings

Validus

Eventus