Consumer Duty has raised the bar. RegTechPRO gives you the compliance framework to prove you're meeting it — and share that evidence with your Principal.
Ready for Principal review
Completed 15 Dec 2024
4 staff, all current
0 open, 3 resolved
All KPIs green
Being an AR doesn't mean compliance is someone else's problem. Your Principal is watching — and so is the FCA.
Attestations, training records, complaints data — you know you should have it, but it's scattered across emails and spreadsheets.
Your Principal sends requirements, but translating them into actual compliance activity feels like guesswork.
Suddenly you need outcome monitoring, fair value assessments, and vulnerability policies. Where do you even start?
When your Principal visits or audits, you want to present a proper compliance function — not a filing cabinet and a prayer.
You're running a business. Compliance shouldn't require a full-time role, but right now it feels like it does.
You want independence, but you're not sure your compliance is ready for FCA scrutiny without a Principal's umbrella.
Since the FCA's AR regime overhaul, Principals face increased accountability for their ARs. That means they need evidence — and they need it regularly.
Outcome monitoring, fair value assessments, vulnerability handling
CPD logs, competency assessments, supervision evidence
Complaints register, root cause analysis, resolution evidence
KPIs, sales data, quality metrics, trend analysis
Annual reviews, compliance declarations, sign-offs
Whatever your regulated activity, RegTechPRO has the modules you need to evidence compliance.
Consumer credit, CONC compliance, responsible lending evidence.
ICOBS requirements, product governance, distribution compliance.
COBS suitability, appropriateness, investment advice records.
MCOB compliance, affordability, advice & sales standards.
RegTechPRO gives you the structure, the tools, and the evidence — all in one place.
Outcome monitoring, fair value assessments, and vulnerability frameworks.
CPD tracking, competency assessments, supervision records.
Register, workflows, root cause analysis, and resolution tracking.
KPIs, RAG ratings, and shareable reports for your Principal.
Policy templates, version control, and acknowledgement tracking.
Annual reviews, compliance declarations, and sign-off workflows.
Regulatory updates filtered to your activities — FCA, ICO, and more.
Your AI compliance assistant that knows your business and answers instantly.
Many ARs eventually want independence. RegTechPRO builds the compliance foundation you'll need — so when you're ready to apply, you're already FCA-ready.
You are here — building evidence
Ready when you are
Evidence. Attestations. MI. Consumer Duty. All in one platform — ready to share.
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