Regulatory Compliance Audit

The challenge

With regulations such as Dodd-Frank, EMIR, MiFID II and the FCA rules now well established, it is imperative for companies to be able to demonstrate compliance with each rule and their pathway to regulatory compliance. Whereas some time was provided by regulators in the initial implementation period, expectations are now more stringent, including immediate demonstration of regulatory compliance.

Spreadsheets can become quickly outdated and emails difficult to find, meaning that they are not effective tools for showcasing regulatory interpretations and changes to operational processes to regulators or auditors.


As a regulatory compliance software solution offering the latest compliance automation tools, Single Rulebook always provides the latest version of the regulation. It can be annotated by and shared among all team members, providing an important and visible audit trail of your firm’s regulatory interpretations, legal opinion and implementation work. Maintaining a digital record of regulatory requirements, interpretations and implementation measures creates a simple process for demonstrating compliance to internal audit and risk management teams, as well as external legal advisors, auditors and regulators.

Key Benefits

  • Full audit trail from requirements to implementation
  • Traceability back to the underlying regulation
  • Compliance change management control framework
  • Demonstrate regulatory compliance in financial services

If you would like to know how Single Rulebook can consolidate your regulatory workflow and save you time and cost, please get in touch.