FIRM COMPLIANCE · CORE MODULE · EVERY FIRM · PRINCIPAL AR OVERSIGHT
Every firm’s regulatory record, structured. Principal firms: AR oversight, SUP 12-proved.
Every FCA-authorised firm captures its regulatory identity here. For principal firms, that’s also the SUP 12 oversight surface — live obligations, per-AR dashboards, and a one-click FCA-ready scorecard.
Every customer: FRN, permitted activities with RAO Article references, 13 FCA business categories, and a 10-document DD checklist. Principal firms: a 9-tab AR Dashboard, 17 SUP 12 obligations handbook-tagged, 12-month KPI matrix, 90-day expiry alerts, and a one-click PDF oversight report — Health Score on the cover page.
Foundation module · Included. Part of every RegTechPRO subscription. No add-on fee.
7-day free trial included with every plan. No commitment required.
A
Anna AI
FCA Compliance Partner
“Here are your 3 immediate actions before the FCA supervisory visit…”
SUP 12.5 · 12.6 · 12.9
Compliance Health
94%
✓
AR SUP 12 Report
One-click PDF · Per AR
Data Protection Review
JM
✓
25+ Years FCA Expertise
Bank-Grade Encryption
SOC 2 Infrastructure
ISO 27001 Infrastructure
UK Based & Hosted
ICO Registered
The Problem
Regulatory record-keeping shouldn't feel like this.
Your permissions are scattered across PDFs. Due diligence lives in spreadsheets. AR supervision is a 30-tab workbook. FCA filings are remembered late. Every compliance team is stuck right here.
Permissions Scattered Everywhere
FCA RAO Article numbers on PDFs. Permitted activities buried in Mintel emails. Close links spread across company-secretary folders. When a new AR joins, reconstructing the full permission set is a half-day archaeology job.
Permissions_MASTER_v9.xlsx
FCA_Register_Extract.pdf
AR_Close_Links_Q4.docx
30 ARs. 30 Spreadsheets.
One workbook per AR for due diligence. Another for approved persons. Another for monthly KPIs. A fourth for audits. Every new AR multiplies the spreadsheet pack. SUP 12 oversight becomes version-control hell.
AR_DD_Tracker_v14.xlsx
APER_Register_MASTER.xlsx
KPI_Matrix_Q1_FINAL_v3.xlsx
VoPs Tracked on a Wall Planner
AR agreements expire. Permissions lapse. Variations of Permission need filing. And somehow the calendar reminder always fires two weeks after the 90-day runway started. A principal's worst call is telling an AR they're unauthorised tomorrow.
7days
Until AR agreement expires. No alert fired.
FCA Filings in Firefight Mode
FCA notifications, FS Register updates, AR appointment submissions, annual fees: all owned by nobody, all remembered late. When a supervisor asks for the evidence pack, it's an email-chain reconstruction, not a record.
FCA Notification, AR #14Overdue
FS Register UpdatePending
Annual Fee BlockNot filed
If your firm's regulatory record currently lives in spreadsheets, email trails, and FCA Register PDFs, Firm Compliance is built for you.
The Firm / AR Oversight Report
The FCA asks how you supervise. You hand them this.
SUP 12 written to the principal. Built from 17 oversight items, 10 due-diligence documents, KPI trend, and the 90-day expiring window. Signed by the Head of Oversight, the CCO (SMF16), and the CEO.
Thirteen sections. Every one anchored to SUP 12.
The Firm / AR Oversight Report is the annual supervisory statement every principal owes the FCA. Firm Compliance rebuilds it from live data: agreement status, 17 ongoing-oversight items, the 10-document DD pack, KPI trend, and the 90-day expiring queue. Nothing to retype. Nothing to invent.
17
Oversight items
10
DD documents
9
Live tabs
90d
Expiring horizon
1
Portfolio Summary & Agreement Register
SUP 12.5.3R
2
Contract Boundaries & Permissions
SUP 12.5.5R
3
Initial Due Diligence Pack
SUP 12.4.2R
4
Ongoing Monitoring, 8 items
SUP 12.6.6R
5
Regulatory Knowledge Review, 8 items
SUP 12.6.8G
6
Fit & Proper Attestations (Senior Persons)
FIT 1.3
7
Financial Promotions Sign-off Record
COBS 4.10
8
Complaints Against the AR
DISP 1.3
9
Consumer Duty Outcomes at AR Level
PRIN 2A.8
10
Financial Crime & AML Reliance
MLR 2017 r.28
11
Annual Self-Certification Pack
SUP 12.9.1R
12
KPI Matrix: 10 metrics, 12-month trend
SUP 12.6.7G
13
Expiring < 90 Days & Termination Register
SUP 12.7.8R
Five items flagged for principal attention
Every breach, every remediation, logged against the AR.
The AR issue register travels with the agreement. Anything the principal raised, anything the AR missed, anything Anna detected from live data: captured, owned and closed, with the oversight item it belongs to stamped on the record.
Raised by
Issue
Date
Status
Tomas Lindqvist
Head of AR Oversight (Principal)
Hadley Wealth (AR): PI insurance expired without notice. Cover reinstated within 48 hours; formal breach logged to oversight item OM-04 and self-cert pack updated.
Jan 28, 2026
Resolved
Nadia Al-Farsi
Compliance Manager
Sullivan Mortgage Network: three financial promotions posted to LinkedIn without principal sign-off. Retrospective review under COBS 4.10; AR training refresh scheduled Feb 15.
Feb 09, 2026
Resolved
Eseosa Imoukhuede
AR Oversight Analyst
Meridian Advisory: complaint volume up 340% QoQ against DISP benchmark. Root-cause review open; principal site visit booked Mar 11 under SUP 12.6.6R.
Feb 22, 2026
Attention
Giulia Rossini
MLRO (SMF17)
Whitestone Capital: AR's AML reliance statement under MLR 2017 r.28 missing two CDD renewals. Gap remediated; reliance agreement re-attested Mar 05.
Mar 02, 2026
Resolved
Anna (Principal Oversight AI)
Automated detection
Northgate Partners: agreement termination window triggered at T-89 days. Wind-down plan drafted, client transfer notices issued, FCA notification of change pending under SUP 12.7.8R.
Mar 14, 2026
Open
Three signatures. Locked and ready for the supervisor.
The report is reviewed by the Head of AR Oversight, approved by the CCO as SMF16, and countersigned by the CEO. Once signed, the PDF is stamped, hashed, and lodged in Document Library. Evidence you did the supervision the FCA expects of a principal.
Reviewed (2LoD)
Tomas Lindqvist
Head of AR Oversight
Apr 03, 2026
Approved (SMF16)
Giulia Rossini
Chief Compliance Officer
Apr 06, 2026
Countersigned (SMF1)
Alistair Brennan
Chief Executive Officer
Apr 08, 2026
Report locked · Apr 08, 2026 · 16:47 BSTBranded PDF delivered to Document Library · SHA-256 hash recorded · supervisor-ready in a single click.
The Solution
Your firm's regulatory record, built as live software.
Every FCA-authorised firm gets a structured record: FRN, permitted activities, 13 business categories, close links, and a 10-document DD checklist. Principal firms add a full AR Dashboard — 9 oversight sub-tabs, 17 SUP 12 obligations, 12-month KPI matrix, and a one-click FCA-ready PDF per AR.
The AR's SUP 12 oversight surface: Health Score, SUP 12 Compliance %, Audit Issues, Agreement Status countdown, and Oversight Progress bars for DD, Ongoing Monitoring and Record Keeping. Every principal obligation, one screen, one AR.
The landing register: every Firm, AR and User Group you oversee. FRN, type, status, parent workflow, DD progress. Five KPI tiles at the top: Total Records, Authorised Firms, Appointed Reps, Active, DD Complete. One register replaces the portfolio workbook.
The 10-document canonical SUP 12 pre-appointment pack: FCA Register Extract, Certificate of Incorporation, Key Individuals List, PI Insurance, AML/CTF Policy, AR Agreement and more. Per-row status, per-row upload. Completion % feeds the SUP 12 Dashboard's Pre-Appointment DD score automatically.
What Our Clients Say
Firm compliance, finally in one place.
From directly authorised firms keeping their regulatory record clean to principals managing appointed rep networks. Firm Compliance replaces the spreadsheet stack with a live, audit-ready record.
5.0
We ran 18 ARs through a 30-tab workbook until an FCA supervisor asked for our SUP 12 evidence. Firm Compliance gave us a record per AR, a 17-item checklist with every sub-rule cited, and a one-click PDF oversight report per AR. What used to be a week of consultant time at year-end is now a click. The 90-day agreement-expiry banner alone has saved us two re-papering fire drills this year.
James HartleyManaging Director, Principal Firm (18-AR Network)
4.7
Running 34 ARs across consumer credit, mortgages and insurance used to mean three separate trackers and a prayer. Now every AR has one record with 9 oversight tabs, and the permissions matrix lists the exact RAO Articles each AR is authorised under, inline. When a new AR onboards, the 10-document DD checklist is already there, the KPI matrix is scaffolded, and the SUP 12 framework is waiting. Onboarding time has dropped from a fortnight to an afternoon.
Li ZhangAR Network Manager, Principal with 34 ARs
What's Included
Everything SUP 12 demands, in one record.
Firm registry. Permissions matrix. AR Dashboard with 9 oversight sub-tabs. 10-document DD checklist. Approved Persons. 12-month KPI matrix. 17-item SUP 12 framework. Audit register. Agreement-expiry alerts. FCA-ready PDF export.
Flagship
SUP 12 Oversight Framework. 17 items. All mapped.
Every principal obligation under SUP 12: Pre-Appointment DD, 8 Ongoing Monitoring items (12.6.1 to 12.6.8), 8 Record Keeping items (12.5 / 12.7 / 12.9). A live, tickable checklist with handbook citations on every line.
SUP 12 checklist
14 / 17
✓ 12.6.1 Monitoring visit
✓ 12.6.2 Fin proms review
✓ 12.6.3 Customer outcome testing
✓ 12.6.4 Complaints monitoring
✓ 12.5.1 AR agreement signed
✓ 12.7.1 FCA notification done
✓ 12.9.1 Complaints records
✓ 12.9.4 Audit trail documented
+ 9 more · Pre-App DD auto-scored · Custom categories
A
“14 of 17 SUP 12 items complete across your AR network. Three outstanding: fin proms review (AR #7), annual review (AR #12), data security review (AR #19).”
82% complete
Firm & AR Registry
One register. Firms, ARs, User Groups.
Three distinct record types with three editor shapes. Five KPI tiles at the top of the register – Total Records, Authorised Firms, Appointed Reps, Active, DD Complete.
Portfolio register
42 records
42
Total
3
Firms
34
ARs
5
Groups
Acme Wealth LtdActive
Beaumont Financial (AR)Prospect
Cromwell Advisers (AR)Active
UK market context: ~2,500 FCA principal firms · ~35,000 ARs. PS22/11 (Dec 2022) formalised the annual oversight self-assessment. This is the programme that evidences it.
✓ Three record types, three editor shapes: Firm, AR, User Group
✓ Users tab doubles as permissions control for the whole platform
✓ Row-level CSV + PDF export on every oversight sub-tab
34 ARs live
Permissions Matrix
Permitted activities. Article tags inline.
Every RAO Article tagged on every row: Art. 25, Art. 37, Art. 53, Art. 60B, Art. 61. Ten category groups from Investment Business to Financial Promotions. No more cross-referencing the RAO.
Dashboard, Profile, Commercial, Key Contacts, Approved Persons, KPIs, SUP 12, Audit Actions, Audit Issues, Social. Module-within-a-module depth. Health Score and SUP 12 % roll up from the same data.
AR network health
5 ARs
AR
Health
SUP 12
Beaumont Financial
EXCELLENT
94%
Cromwell Advisers
GOOD
88%
Delaney & Co
GOOD
71%
Eastwood Mortgages
ATTENTION
48%
Fenton Protection
EXCELLENT
97%
Agreement Expiry Alerts
90-day runway. Never surprised.
Every AR banner shows days-to-expiry. Inside 90 days: Agreement Expiring Soon alert fires. Inside 0 days: Expired red badge. Re-papering lead time, automated.
Expiry countdown
1 expiring
AR #7: 87 days
EXPIRING
AR #14: 312 days
ACTIVE
90d
Amber trigger
0d
Red trigger
Due Diligence Checklist
10 canonical SUP 12 documents.
FCA Register Extract, Certificate of Incorporation, Org Chart, Key Individuals, PI Insurance, Complaints Policy, AML/CTF Policy, Financials, AR Agreement. 7 mandatory, 3 optional. Completion % feeds the Pre-Appointment DD score automatically.
Pre-appointment DD
9 / 10
9/10
Received
90%
DD Score
7
Mandatory
FCA RegisterPI InsuranceAML/CTF+7 more
Approved Persons
Per-AR APER register with IRN & CF codes.
Name, IRN, Function (CF-code), Since, To, Active/Ceased. The AR-level APER register pairs with the principal's SM&CR module for complete people oversight.
Controlled functions
2 active
J. Beaumont · CF1Active
S. Reid · CF30Active
P. Kumar · CF5Ceased
12-Month KPI Matrix
10 metrics. 12 months. Scroll the year.
New clients, cases, GI volume, protection, mortgage, pension, investment, complaints, client money, cash assets. Fixed metric schema across every AR. Clean portfolio-level MI roll-up, no per-AR column drift.
Portfolio MI
10 metrics
New clientsCasesVolume GIVolume protectionVolume mortgageVolume pensionVolume investmentComplaintsClient money heldCash assets
Cases, last 12 months
Audit Actions & Issues
Every review. Every finding. Dated.
Frequency (monthly/quarterly/ad-hoc), date conducted, Red/Amber/Green counts per audit, overall RAG. Outstanding findings tracked to closure with owner & date. Audit register feeds the Health Score and the Audit Issues tile automatically.
Audit register
18 YTD
18
Audits YTD
2
Red Open
7
Amber Open
Owner & date tracked
Commercial & Fees
Establishment. Monthly. APER. Fin Proms.
Every fee type captured. Every % split of regulated vs non-regulated income. Every customer classification. CSV and PDF export on every single-AR commercial report.
Fee breakdown
Per AR
£2.4k
Monthly Fee
£186k
LTV
72%
Regulated
EstablishmentAPERFin PromsComplaints
Fin Proms Surveillance
8 channels. Scope, not metadata.
Website, Facebook, Twitter/X, Instagram, YouTube, LinkedIn, Snapchat, TikTok. Captured as scope for SUP 12.6.2 financial-promotions review and SUP 12.9.2 log maintenance. No channel slips the net.
Parent-workflow users manage the record. Child-workflow users operate inside it. Firm Compliance is the sole writer to the master Access Rights sheet. The onboarding surface for the whole platform.
Access rights
38 / 43
Users Active
38 / 43
Parent
Manage
Child
Operate
1
Source of truth
Renewals & Fees Calendar
AR agreements, annual fees, VoPs. One timeline.
Agreement Expiring Soon alerts fire at 90 days. FCA annual fee blocks, permission variations, AR appointment anniversaries: every recurring principal obligation surfaces as a dated event, not a calendar reminder someone forgot to set.
Every notification a principal owes: AR appointment, scope change, cessation, FS Register confirmation. Captured as a dated record keeping item (SUP 12.7.1, 12.7.2). The evidence pack a supervisor asks for, already built.
Filing log
12 filed YTD
Filing
Ref
Status
AR appointment
SUP 12.7.1
Filed
Scope change
SUP 12.7.2
Filed
FS Register confirm
SUP 12.7
Due
Cessation notice
SUP 12.7.2
Draft
Flagship Export
One-click FCA-ready Firm / AR Oversight Report PDF.
Navy cover, RAG-coloured 48pt Health Score, full Firm Details, Due Diligence table, Executive Summary. A branded multi-page PDF for the supervisor. For a 10-AR principal: ten one-click PDFs at board prep, ready to hand over.
Core module · Included in every RegTechPRO subscription from £500/month · No add-on fee
Anna AI for Firm Compliance
Ask her about permission boundaries, AR networks and FCA filings.
Anna is trained on SUP 12, the Regulated Activities Order, SM&CR, SYSC 4 and the FCA AR Gateway regime (PS22/11), alongside 1,500+ expert documents. She tracks permission boundaries across your AR network, flags filings and expiry windows before they bite, and explains any SUP 12 rule in plain English. Handbook citation underneath, every time.
Hi, I'm Anna!
SUP 12 EXPERT · RAO TRAINED
Your AR network permission-boundary watcher and filing-calendar enforcer, in one.
Anna does three things for Firm Compliance. She tracks permission boundaries across every AR, warning when an activity an AR is selling sits outside the principal's scope. She flags FCA filings before they slip: SUP 12.7 notifications, FS Register updates, AR agreement expiries, annual fee blocks. And she explains the rules for AR networks in plain English, with the handbook citation every time.
Tracks permission boundaries across your AR network with RAO Article citations
Flags FCA filings, VoPs and AR agreement expiries ahead of the 90-day runway
Explains any SUP 12.5 / 12.6 / 12.7 / 12.9 rule with handbook-grade citations
Never attests for you: human accountability on every SUP 12 checkbox
Your SUP 12 research desk
Ask Anna anything about your AR network. Get a cited answer.
“Is our AR #7 selling outside our permissions?” “What triggers a SUP 12.7 notification?” “How long do we have to re-paper the AR agreement?” Anna answers from SUP 12, the RAO and your live Firm Compliance data in seconds, with citations.
SUP 12, RAO, SM&CR & PS22/11 grounded
Cites sub-rules, Articles & your own data
Reads your AR records & filings live
Available across every AR Dashboard tab
A
Anna AI
Online · AI Compliance Advisor
Beaumont Financial's AR agreement expires in 87 days. What do we need to re-paper?
You're inside the 90-day SUP 12 runway. Four things to refresh before renewal:
Scope of appointment (SUP 12.5.2): confirm the RAO Articles the AR will operate under still match its activity mix
Pre-appointment DD refresh: the 7 mandatory documents (latest FCA Register extract, PI cert, AML policy, financials)
Fit & Proper reconfirmation for every CF holder on the AR's Approved Persons register
She watches permission boundaries, flags SUP 12.7 filings before they slip, and cites the rule-book every time. Firm Compliance, with Anna, is Core in every RegTechPRO subscription. See her map your AR network in a live demo.
Everything you need to know about Firm Compliance, SUP 12 oversight, and how it sits alongside the rest of RegTechPRO.
Does Firm Compliance actually cover the whole SUP 12 framework?
Yes. The module ships with the 17-item SUP 12 Oversight Framework pre-built across three categories: Pre-Appointment Due Diligence (scored automatically from the DD tab), Ongoing Monitoring (8 items, SUP 12.6.1 to 12.6.8), and Record Keeping (8 items, SUP 12.5 / 12.7 / 12.9). Every item carries its sub-regulation reference tag inline, so principals can evidence each obligation to an FCA supervisor without cross-referencing the handbook.
What does the AR Dashboard actually contain?
Nine oversight tabs per AR: Dashboard (Health Score, SUP 12 Compliance %, Audit Issues, Agreement Status, 8-tile bento), Profile (FCA business categories, permitted activities with RAO Article tags), Commercial (fees, revenue, customer classification, income YTD), Key Contacts, Approved Persons (SM&CR register with IRN + CF code), KPIs (12-month rolling 10-metric matrix), SUP 12, Audit Actions, Audit Issues, Social (financial-promotions surveillance targets).
When does the Agreement Expiring Soon banner fire?
Exactly 90 days before the AR relationship end date. Inside 90 days the AR's banner shows an amber *"AGREEMENT EXPIRING SOON"* alert with a days-to-expiry countdown; at expiry it flips to a red EXPIRED badge. 90 days is the runway you need to refresh DD, reconfirm F&P, renegotiate commercial terms and file the SUP 12.7 notification, without scrambling.
Can I produce an FCA-ready single-AR oversight report?
Yes. One click per AR. The AR Dashboard produces a branded multi-page PDF with a navy cover page, the AR's Health Score as a 48pt RAG-coloured number, full Firm Details, Due Diligence table with RAG-coloured status cells, Executive Summary and supporting sections. For a principal running 10 ARs, ten one-click PDFs at board prep replace a week of consultant review work.
What record types does the module support?
Three distinct record types with different editor shapes: (1) Firm Record, FCA-authorised firm with direct permissions, 3 tabs (Firm Details, Due Diligence, Users); (2) Appointed Representative Record, AR operating under a principal's permissions, 4 tabs (adds the 9-sub-tab AR Dashboard); (3) User Group, lightweight workflow for managing access without firm data. Three types, three editors, not one record with conditional fields.
How does the permissions matrix work?
Every permitted activity is tagged with its FCA Regulated Activities Order Article number inline: Art. 25, Art. 37, Art. 53, Art. 60B, Art. 61 and the rest, across 10 category groups (Investment Business, Consumer Credit, Home Finance, Insurance Distribution, Payments & E-Money, Banking, Funeral Plans, Benchmarks, Claims Management, Financial Promotions). The picker also includes named-instrument tags for PSRs 2017 and EMRs 2011. No more cross-referencing the RAO manually.
What's in the Due Diligence checklist?
The 10-document canonical SUP 12 pre-appointment pack: FCA Register Extract*, Certificate of Incorporation*, Memorandum & Articles, Organisational Chart*, Key Individuals List*, PI Insurance Certificate*, Complaints Handling Policy*, AML/CTF Policy*, Latest Financial Statements, AR Agreement. Seven mandatory (starred), three optional. Completion % feeds the AR's Pre-Appointment DD score on the SUP 12 Dashboard automatically. No duplicate entry.
How does the 12-month KPI matrix work?
Ten fixed metrics per AR (new clients, cases, GI volume, protection, mortgage, pension, investment, complaints, client money held, cash assets), captured month-by-month with horizontal time-axis scroll. The metric list is fixed across every AR so portfolio-level MI rolls up cleanly. Export CSV or PDF for any single AR; the data feeds the AR Dashboard's Monthly Revenue tile and the audit trail.
How does it integrate with the rest of RegTechPRO?
Two deep cross-module flows: (1) DD documents uploaded against an AR record live in the shared Document Library form, surfacing natively under the "Due Diligence Documents" system category without any syncing logic; (2) Firm Compliance is the sole writer to the master Access Rights Google Sheet, so users added on the Users tab are automatically provisioned with workflow access across every other module (Hub, CMP, Risk, Consumer Duty, MI). The Users tab IS the platform onboarding surface.
How much does Firm Compliance cost?
Nothing on top of your subscription. Firm Compliance is a Foundation module, included with every RegTechPRO subscription. Principals typically replace a stack of spreadsheet trackers, consultant review packs and calendar reminders from day one.
How long does setup take?
Under a day for a small principal. The module ships pre-seeded with the 10-document DD checklist, the 17-item SUP 12 framework, the 10-row KPI matrix, the 10-category RAO permissions picker and the 8-channel financial-promotions social grid. You add your firms and ARs, upload DD documents, and start ticking SUP 12 items. No consultant needed to "design the framework": RegTechPRO has opinionated defaults that match the FCA handbook.
Can it run a multi-principal or consultant book?
Yes, it's one of the module's strongest use cases. The two-tier permissions model (Parent workflow users manage records; child workflow users operate inside them) means a compliance consultant can run 30+ principal firms from one login, each with its own register of firms and ARs, its own users, its own audit trail. The fixed KPI matrix and standardised SUP 12 framework make cross-client benchmarking trivial.
What does migration look like from a spreadsheet pack?
Faster than you'd expect. Most firms bring across 20 to 40 AR records in an afternoon: paste firm name, FRN, appointment dates and key contacts into each record, upload DD documents against each AR, and let the module score the DD tab. SUP 12 framework ticking catches up in the first week as the oversight team works through each item. You're typically fully live inside a fortnight for a 30-AR network.
What does Anna do inside Firm Compliance?
Three things. (1) She watches permission boundaries across your AR network, warning when an AR's activities drift outside its authorised RAO Articles. (2) She flags SUP 12.7 filings, FS Register updates, annual fees and AR agreement expiries before they slip. (3) She explains any SUP 12.5 / 12.6 / 12.7 / 12.9 rule, any RAO Article, or any SM&CR/APER requirement in plain English with the handbook citation. She never ticks SUP 12 checkboxes for you: the principal stays fully accountable.
What does Anna cite?
SUP 12 (5.x appointment conditions, 6.x ongoing monitoring, 7.x notifications, 9.x record-keeping), the Regulated Activities Order (RAO Article numbers on every permission), SM&CR and SUP 10A for APER holders, SYSC 4 where relevant, and PS22/11 (FCA AR Gateway regime). She also cites your own data: the specific AR record, DD document, audit finding, or agreement date that underpins her answer.
What's the audit trail like?
Every save is timestamped. Every DD document is uploaded against the AR with a parent-submission link to the Document Library. Every audit action and finding carries date-conducted, date-issued, RAG rating and comments. Approved Persons are tracked from Since date through To date with status transitions. When an FCA supervisor asks "show me your SUP 12.6.2 financial-promotions review for AR #7 in Q3", the answer is one dated audit action and the captured social-channel scope from the Social tab.
How is the Health Score calculated?
Composite across 10 data inputs: SUP 12 Ongoing Monitoring items checked, SUP 12 Record Keeping items checked, Due Diligence tab completion, custom oversight items, audit actions logged, Key Contacts filled, Approved Persons registered, Profile fields (manager, sector, agreement expiration), and Commercial fields (establishment fee, monthly fee, revenue). Badge thresholds: EXCELLENT ≥80% green, GOOD ≥60% amber, ATTENTION <60% red. No single failure dominates the score.
Your SUP 12 operating system. Core-included.
Multi-tenant registry of Firms, ARs and User Groups. 9-tab AR oversight surface. 17-item SUP 12 framework. 10-doc DD checklist. 12-month KPI matrix. FCA-ready one-click PDF per AR. Included with every RegTechPRO subscription. No add-on fee.
