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The Rules Consultancy

The Rules Consultancy helps financial services firms to overcome their regulatory challenges.

 

We provide pragmatic advice and solutions that make the best use of technology (regtech) to reduce compliance risk whilst saving time and money. 

 

Our track record has been established through helping a wide range of firms to comply with the Senior Managers and Certification Regime (SMCR) and with the new Consumer Duty.

 

We work closely with partners who are specialists in their respective fields – from AI led employee engagement technology through to market leading GRC solution providers.

Contact TRC founder Jon Ellis on LinkedIn

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CD Control Room in action

Mid sized wealth manager using CD Control Room to test their Consumer Duty implementation plans. 

The tests show that the customer profiling focus in service development has not flowed down sufficiently into customer communications and support.

 

Support processes, in particular, are not tailored enough for the range of customer characteristics that have been identified.