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RegTechPRO Brochure - FCA Compliance Platform
FCA fines up 337%

The FCA Compliance Platform You'll Wish You Had Sooner

ZERO compliance gaps = ZERO compliance stress. RegTechPRO is complete FCA compliance in a box!

Trusted by 250+ UK-regulated firms

See What's Included Watch 2-Min Video £ View Pricing
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Includes 7-day free trial · How to Sign Up

250+
UK-Regulated Firms
80+
Subjects
AI
Integrated
£10m+
Savings Delivered
RegTechPRO Task Management
RegTechPRO MI Dashboard
Compliance Platform of the Year
ICO Registered
UK Based & Hosted
The Problem

Compliance Shouldn't Feel Like This

Sound familiar? You're not alone. Most UK-regulated firms struggle with these exact challenges.

Drowning in Spreadsheets

Scattered compliance records across dozens of files, with no clear audit trail or version control.

Consultant Bills Piling Up

£70,000+ per year on external consultants who only show up quarterly—and still miss things.

FCA Audit Anxiety

The constant worry that you're missing something—and you'll only find out when it's too late.

Missed Deadlines

Regulatory deadlines slip through the cracks. You're always reactive, never proactive.

Stretched Too Thin

One person doing the compliance work of three. You can't hire more staff—but you can't keep up either.

Outdated Policies

Documents that haven't been reviewed in years. No version control. No approval workflows.

The Solution

Everything You Need. One Platform.

Enterprise-grade compliance made accessible. Built by compliance professionals—to make your life easier.

Compliance Hub

Your Compliance Command Centre

Intelligent task orchestration with automated reminders, approval workflows, and real-time progress tracking. View your compliance work in Table, Calendar, Kanban, or List views — your way, always.

Table View
Compliance Hub - Table View
Kanban View
Compliance Hub - Kanban View
Table View
Calendar View
Kanban View
Custom Forms
100+ Form Templates
Exportable Reports
Available in All Packs
Anna AI

Your AI Compliance Expert

Anna AI is your on-demand compliance expert, available 24/7 to answer questions, draft documents, analyse regulations, and guide you through complex compliance scenarios. Trained on FCA regulations and your firm's specific policies.

Ask Anna
Anna AI Chat
AI Document Writer
Anna AI Documents
24/7 Availability
FCA Trained
Executive Summaries
Comprehensive Reports
Document Generation
Daily Updates
Available in All Packs
Comprehensive Coverage

80+ Compliance Templates

From FCA permissions to financial crime, from data protection to consumer duty—RegTechPRO covers the full spectrum of UK regulatory requirements. Every module includes pre-built templates, workflows, and expert guidance.

Module Library
Module Library
Module Details
Module Details
Financial Promotions
Complaints
GDPR
Anti-Money Laundering
Consumer Duty
Product Assessment
Systems & Controls
Treating Customers Fairly (TCF)
Vulnerable Customers
CONC
ICOBS
COBS
+ many more
Available on all plans
People Compliance

People Compliance Made Simple

Comprehensive people compliance across SM&CR, APER, IDD and non-regulated staff. Manage SMF holders, certified persons, fitness & propriety assessments, conduct rules training, and staff due diligence—all with automated reminders and full audit trails.

SM&CR Directory
People Directory
Training Tracker
Training Management
SM&CR
APER
IDD
Unregulated staff
Statement of Responsibilities
Responsibility Mapping
Due Diligence
Fit & Proper
CPD
Certificates of Competence
Available on PRO plans and above
Compliance Monitoring

Compliance Monitoring Plan

Build and execute your compliance monitoring programme with structured testing, evidence collection, and automated scheduling. Track findings, remediation actions, and demonstrate ongoing compliance to the FCA.

Monitoring Plan
Compliance Monitoring Plan
Test Results
Test Results
Monitoring Universe
100+ Template Reviews
Findings Log
Trend Analysis
Auto-scheduling
Policy Studio

Professional Document Creation

More than just policies—Policy Studio comes with 100+ templates for policies, manuals, forms, and everything in between. Collaborate with Anna AI and your team to create world-class documentation, then use Anna AI to generate actionable tasks that bring your policies to life. Import your existing policies as your starting point, or start fresh with our expert-built templates.

Document Editor
Document Editor
Enhance with Anna AI
AI Enhancement
100+ Templates
Full AI integration
Version Control
Approval Workflows
Anna AI performance score
Policy Operationalisation
Auto Task Generation
Export and Save to Library
Collaborative Feedback
Firm Compliance

Firm & AR Management

Manage your firm's regulatory permissions, appointed representatives, and group compliance. Create isolated workflows for each AR, track permissions, and maintain oversight across your entire regulatory footprint.

AR Overview
AR Overview
Permissions Manager
Permissions Manager
AR & Firm Management
Permission Tracking
Due Diligence
Create isolated workflows
Group Oversight
User Management
Risk Management

Intelligent Risk Assessment

Comprehensive risk management with heat maps, control frameworks, and automated scoring. Define your post-control risk appetite, measure actual risks against it, and identify emerging threats before they become issues.

Risk Register
Risk Register
Heat Map
Risk Heat Map
Risk Register
Heat Maps
Risk Appetite
Control Framework
Horizon Scanning

Stay Ahead of Change

Automated regulatory change monitoring from over 200 sources. Impact assessments, implementation tracking, and proactive alerts keep you ahead of regulatory developments that affect your firm.

Regulatory Feed
Regulatory Feed
Impact Analysis
Impact Analysis
200+ Sources
Save for later
Alerts by Regulated Activity
Deadline Tracking
Document Library

Centralised Document Hub

Your single source of truth for all compliance documentation. Version control, approval workflows, and intelligent search ensure everyone has access to the right documents at the right time.

Document Browser
Document Library Browser
Version History
Document Version History
Version Control
Approval Workflows
Smart Search
Access Controls
70+ Document Templates
MI Dashboard

Compliance Intelligence

Real-time compliance dashboards with AI-generated executive summaries from Anna AI—perfect for quick board report snapshots. Take action straight from the dashboard with drilldown analysis, exportable reports, and beautiful visualizations that tell your compliance story.

Executive Dashboard
MI Executive Dashboard
Report Generator
Board Report Generator
Real-time Metrics
AI Summaries
Board Reports
Drilldown Analysis
Application Tracker

FCA Application Management

Track your FCA applications from submission to approval. Get key insights and support via specialised FCA application reports from Anna AI for each application—understand what's needed and why. Document checklists, status tracking, and deadline management for authorisations, variations, and more.

Application Pipeline
FCA Application Pipeline
Document Checklist
Application Document Checklist
50+ Regulated Activities
All FSMA 2000 (RAO) Permissions
Requirements Report
Anna AI assessment
Document Management
SMF records
Application Fees
Submission Tracking
Timeline alerts
Compliance Coverage

70+ Ready-to-Use Templates.
Every Area Covered.

From registers and reports to deep-dive assessments across Data Protection, Financial Crime, and FCA regulations — RegTechPRO gives you institutional-grade compliance coverage out of the box.

Register Templates

Gifts & Entertainment
Conflicts of Interest
Complaints
Breaches
Fraud
Politically Exposed Persons
Financial Promotions
Call Monitoring

Report Templates

Suitability Reports
MLRO Report
Fair Value Assessment
Quarterly Attestations
Company Compliance Report

Assessment Templates — Data Protection

PECR
Cyber Security
IT Security
PCI Compliance
Information Security
GDPR
Confidentiality
Consent

Assessment Templates — Financial Crime

Anti-Bribery & Corruption
Sanctions
Anti-Money Laundering
Due Diligence
Transaction Monitoring

Assessment Templates — FCA Regulations

Compliance Framework
Consumer Duty
Complaints Audit
FCA Company Requirements
Treating Customers Fairly
Regulatory Business Plan
Business Continuity Plan
FCA Threshold Conditions
Recruitment & Training
Risk Management
Outsourcing
Regulatory Reporting
Product Assessment
SM&CR
Systems & Controls
Record Keeping
Vulnerable Customers
Arrears & Default
CASS Client Money
CONC Consumer Credit
FPCOBS Funeral Plans
ICOBS Insurance
COBS Investments
MIFIDPRU Capital Adequacy
PSRs Payment Services
Compliance Monitoring Plan

1,000+ Pre-Built Checks.
Expert Guidance Built In.

Every check comes with comprehensive, easy-to-follow guidance so your team knows exactly what to review, what evidence to gather, and how to stay on top of your regulatory obligations — no compliance expertise required.

FCA (General)

RegData Returns & Submissions
Companies House & Corporate Governance
Scope of Permissions & Variations
Governance, Systems & Controls
Risk Management Framework
SM&CR
Training, Competence & Qualifications
Consumer Duty
Financial Resources & Capital Adequacy
Client Onboarding & Categorisation
Suitability & Appropriateness
Financial Promotions & Communications
Charges, Remuneration & Disclosure
Conflicts of Interest
Complaints Handling & Reporting
Whistleblowing
Remuneration Code
Outsourcing & Third-Party Management
Appointed Representatives & Tied Agents
Controllers & Close Links
Professional Indemnity Insurance
Business Continuity & Resilience
Record Keeping & Retention
Market Abuse & Insider Dealing
Transaction & Trade Reporting
Personal Account Dealing
Restricted & Watch Lists
Chinese Walls & Information Barriers
Investment Research
Telephone Recording & Comms
Stationery, Email & Business Comms

Financial Crime

AML Policy, Framework & MLRO
CDD & Know Your Customer
EDD & Politically Exposed Persons
Ongoing & Transaction Monitoring
Sanctions Screening
Suspicious Activity Reports (SARs)
MLRO Annual Report to Board
Anti-Bribery & Corruption
Fraud Prevention & Counter-Fraud
Market Abuse Prevention

Data Protection

UK GDPR & DPA 2018 Framework
Lawful Basis, Privacy & Consent
Subject Access Requests & Rights
Data Breach Reporting & Management
PECR
DPO & Record of Processing
Data Retention, Disposal & Destruction
International Data Transfers
AI, Automated Decisions & Profiling
Cyber Security & IT Security

Other Legal Requirements

HMRC, Tax & Corporate Criminal Offences
Health & Safety
HR & Employment Law
Equality, Diversity & Inclusion
Modern Slavery & Human Trafficking
Environmental & ESG Obligations
ICO Registration
Employer's Liability & Business Insurance
Pensions Auto-Enrolment
Companies Act Obligations

FCA (Specialist)

Investment Management & Wealth
Retail Investment Advice (IFA)
Insurance — General
Insurance — Life & Protection
Payment Services & E-Money
Consumer Credit — Lending & Broking
Debt Management & Collection
Mortgage & Home Finance (MCOB)
Crypto Asset Firms
CASS: Client Money & Custody
Crowdfunding & P2P Lending
Claims Management Companies
AR Networks (Principal Firms)
Need something else? Use the built-in drag and drop Custom Form Builder to create custom registers, reports, and assessments for any compliance subject — no limits, no coding required.
View Pricing Book a Demo
See It In Action

Watch How RegTechPRO Works

Quick videos that show you exactly what you will get

Platform Overview
4:12

Platform Overview

See how our 80+ subjects, task manager, and AI assistant work together to keep you compliant.

Is Your Firm Inspection Ready?

Is Your Firm Inspection Ready?

Find out how RegTechPRO ensures your firm is always prepared for regulatory inspections.

Features Demo

Features Demo

A hands-on walkthrough of RegTechPRO's key features and how they simplify your compliance workflow.

The Investment

Replace £70,000+ in Consultant Fees

Everything you'd pay a consultant for, at a fraction of the cost—and available 24/7.

Traditional Consultants
£70,000+
per year, minimum
  • Quarterly visits only
  • Limited availability
  • No real-time visibility
  • Knowledge walks out the door
  • Reactive, not proactive
RegTechPRO
From £200
per month
  • 24/7 platform access
  • AI assistant always available
  • Real-time MI dashboards
  • Complete audit trail
  • Proactive deadline alerts
View Pricing Plans
Built For You

Compliance Solutions for Every Firm Type

Whether you're a solo AR or a principal firm with a network, we've got you covered.

Investment Firms

Investment Firms

Comprehensive COBS compliance for wealth managers, discretionary fund managers, and investment advisers. From suitability assessments to best execution, manage your MiFID II obligations with confidence.

  • COBS & MiFID II Compliance
  • Suitability & Best Execution Reviews
  • MIFIDPRU Capital Adequacy
Compliance Consultants

Compliance Consultants

Scale your consultancy with RegTechPRO's multi-client management. Share logins with clients for full transparency and deliver premium compliance services at scale.

  • Multi-client dashboard
  • Scalable compliance delivery
  • Client login sharing
Insurance Firms

Insurance Firms

Navigate ICOBS and insurance-specific FCA requirements with dedicated modules. Product governance, fair value assessments, and distribution compliance.

  • ICOBS compliance modules
  • Product governance tracking
  • Fair value assessments
AR Networks

AR Networks

Oversight and compliance management across your entire AR network. Monitor principal responsibilities and maintain FCA reporting requirements centrally.

  • Network-wide dashboard
  • AR onboarding workflows
  • Principal oversight reporting
Payments Firms

Payments & E-money

Navigate PSRs 2017 and EMRs with dedicated modules. Safeguarding, operational resilience, and consumer protection covered.

  • PSRs 2017 Compliance
  • Safeguarding Reviews
  • Operational Resilience
Crypto Firms

Cryptocurrency Firms

FCA-registered cryptoasset businesses need robust AML controls. Stay ahead of evolving crypto regulations with purpose-built modules.

  • Crypto AML Compliance
  • Financial Promotions
  • Registration Maintenance
Credit Firms

Credit Firms

Consumer credit compliance made simple. CONC requirements, creditworthiness assessments, and arrears management.

  • CONC Compliance
  • Creditworthiness Assessments
  • Arrears & Forbearance
What Our Clients Say

Trusted by Compliance Teams Across the UK

Hear from the firms that have transformed their compliance with RegTechPRO

We were spending over £80,000 a year on external consultants and still had gaps in our monitoring plan. Within three months of switching to RegTechPRO, we had full coverage across all 80+ subjects, automated reminders for every deadline, and our FCA visit went flawlessly. The ROI was immediate.

JH
James Hartley Head of Compliance — Wealth Management Firm

As a CEO, I needed visibility into our compliance posture without wading through spreadsheets. The MI Dashboard gives me a real-time health score I can present to the board in seconds. Anna AI has become our team's first port of call for any regulatory question — it's like having a compliance consultant on speed dial, 24/7.

SP
Sarah Pemberton CEO — Insurance Firm

Consumer Duty was keeping me up at night. RegTechPRO gave us a structured framework with pre-built templates for every CONC requirement. Our compliance monitoring plan went from a neglected Word document to a living, breathing system. The Policy Studio alone saved us weeks of work.

DM
David Mitchell Compliance Director — Consumer Credit Firm

Managing compliance across 35 appointed representatives was a nightmare before RegTechPRO. Now I have a single dashboard showing every AR's compliance status, overdue tasks, and risk scores. The onboarding workflows alone cut our AR setup time from two weeks to two days. I genuinely don't know how we managed without it.

RK
Rachel Kinsella Owner — Appointed Representatives Network

RegTechPRO completely transformed our consultancy. We went from manually tracking 12 client firms in spreadsheets to managing 40+ through one platform. Our clients love the shared login — they can see exactly what we're doing for them. It's helped us triple our client base while actually reducing our workload. Best investment we've ever made.

MT
Michael Thornton CEO — Compliance Consultancy Firm
FAQs

Frequently Asked Questions

Everything you need to know about RegTechPRO

Yes! We offer a 7-day free trial with full access to all features. You can explore the platform, set up your compliance framework, and see exactly how it works before making any commitment. Payment is not charged until the 8th day and you can cancel at any point before then.
Absolutely. We use bank-grade encryption (AES-256), host on secure UK data centres, and are fully GDPR compliant. Your data is backed up daily and we conduct regular security audits. We're SOC 2 Type II compliant and registered with the ICO.
All subscriptions have a minimum 12-month term. After the initial period, you can cancel with one month's written notice. You'll retain access until the end of your notice period and can export all your data before cancellation takes effect.
Not at all. RegTechPRO is designed by compliance professionals for compliance professionals, and complete novices!. If you can use a web browser and send emails, you can use our platform. We also provide comprehensive onboarding, video tutorials, and live support to help you get started.
All plans include email support with 24-hour response times. Pro and Enterprise plans include priority support with live chat and phone access. We also have an extensive knowledge base, video tutorials, and regular webinars to help you get the most from the platform.
We cover all major FCA regulatory requirements including Consumer Duty, AML/CFT, SM&CR, GDPR/Data Protection, Complaints Handling, Business Continuity, Operational Resilience, Financial Crime, and more. With 80+ subjects, we have everything a UK-regulated firm needs.
Yes! RegTechPRO is specifically perfect for compliance consultants managing multiple client firms. You get a central dashboard to oversee all your clients, with separate workspaces for each client - and you can give your clients ring-fenced access to their information and audits too.
Get In Touch

Have Questions? We're Here to Help

Our team of compliance experts is ready to answer your questions and help you find the right solution.

Email Us

Drop us a line anytime. We typically respond within 24 hours.

sales@regtechpro.co.uk

Send a Message

Fill out our contact form and we'll get back to you shortly.

Book a Call

Schedule a free consultation with our compliance experts.

View Calendar

Ready to Transform Your Compliance?

Join 250+ UK-regulated firms who've already made the switch. Start your 7-day free trial today

Book a Demo £ View Pricing Watch 2-Min Video
Not ready to subscribe? Check out our online store instead

Trusted by 250+ UK-regulated firms · Plans from £200/month

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Head Office: RegTechPRO Limited, Offices 1 - 7, 2 Wood Ridge Crescent, Cambridgeshire, PE19 6BG 

Company Registration Number: 10707766

@RegTechPRO 2024