Compliance Hub | Optimize Compliance — Get Started Today — RegTechPRO

The Problem

Five tools. Four owners. No source of truth.

A monitoring plan in Word. A task tracker in Asana. Attestations in Google Forms. A board pack assembled in PowerPoint the night before. The system the SMF16 actually runs the firm from doesn't exist — until the operating system you needed lands.

Monitoring Built From a Blank Page

SYSC 6.1 expects an adequate, evidenced monitoring programme. Most firms draft theirs from scratch each year, copying bits from last year's Word doc and hoping they've covered the Handbook. 74 regulatory categories. 1,101 checks that should exist across FCA, ICO, HMRC, HSE, TPR, Companies House, Home Office and EU DORA. Good luck remembering which.

CMP_2024_v7_FINAL.docx

Monitoring_Schedule_Q3.xlsx

Findings_Log_old.xlsx

Compliance Spread Across Six Tools

Tasks in Asana. Attestations in Google Forms. Findings in Excel. Evidence in Drive folders. MI in PowerPoint. The Annual Report ghost-written by a consultant. Six tools, six owners, six versions of "the truth" — and no single audit trail when the FCA asks.

Annual FCA CMP Draft Siloed

AML Monitoring Programme Separate

Data Protection & ICO Plan Elsewhere

Weak Evidence, Thin Findings Trail

SYSC 6.1 needs more than a checkbox. Reviews without dated evidence, findings without severity, remediations without owners. When a supervisor asks "show me the evidence", PDFs in Outlook folders won't cut it.

0 evidenced

Findings with artefacts attached.

Board Packs Built the Night Before

No completion %, no overdue count, no heat map, no FCA-cited narrative. The board asks "are we meeting our regulatory obligations?". The honest answer is a hastily-assembled slide from a schedule nobody has updated since February — and a 12-month consultant retainer to draft the Annual Report.

Completion Rate: ?

Overdue Reviews: ?

Open Findings: ?

One module ends all of this. Plan, attest, evidence, monitor and report — every regulatory obligation in one place, with Anna writing your Annual Compliance Monitoring Report from your live data.

Features

The compliance monitoring operating system your firm needs.

Three things make it the OS, not a plan template. Nine capabilities turn it into the SMF16's daily home screen. One module covering every regulatory perimeter — FCA, ICO, HMRC, HSE, TPR, Companies House, Home Office and EU DORA. Provable in seconds.

Three ideas no Word-doc plan can match.

Most monitoring plans are spreadsheets pretending to be programmes. The Compliance Monitoring Hub is built on three principles that change what the SMF16 can put in front of the FCA in seconds.

1,101 expert checks. 74 categories. Cited to statute.

Every template carries a hierarchical reference, the regulator that wrote it, the default frequency and a multi-paragraph regulatory commentary explaining what the supervisor expects. The £15k consultancy library — pre-built, attestor-named, customisable to your firm.

✗ Word-doc plan: last year's headers, no statute anchors
✓ Compliance Monitoring Hub: 1,101 templates with citations

SYSC 6.1 · SYSC 6.2 · PRIN 2A

Eight regulators. One programme.

FCA, ICO, HMRC, HSE, TPR, Companies House, Home Office, EU DORA — every regulatory perimeter your firm touches in one library. No SMB compliance vendor we've audited covers this regulator span. The whole obligation map, in one place.

✗ Other tools: FCA-only or "GRC platform" priced for banks
✓ Compliance Monitoring Hub: 8 regulators, one subscription

FCA · ICO · HMRC · +5 more

Your tasks. The regulator's calendar. Same screen.

27 curated FCA-published events for 2025–2027 — consultations, deadlines, fines, review periods — alongside your own monitoring schedule. Manual curation by the RegTechPRO compliance team, not an auto-RSS scrape. Click any event for the source quote.

✗ Today: two diaries, one missed deadline
✓ Compliance Monitoring Hub: dual-mode, side by side

27 events · 2025–2027 · Curated

Nine capabilities turn this into the SMF16's daily home screen.

Every capability ships in the module. No tier gate, no add-ons. The cross-module aggregator means every other module's submissions feed into your one programme view.

1 Plan & build From a blank page to an evidenced programme in an afternoon.

1,101-template CMP library

Universe table of monitoring areas — pick from the library, customise to the firm. Each template carries owner, frequency, status, last review, next due, evidence, findings. Five prefix families (A–E) covering FCA backbone, financial crime, data & privacy, non-FCA statutory, and firm-type chapters.

5 prefix families · 74 categories

60+ regulator-anchored forms

One task picker, ~67 templates — submissions land in the right JotForm with the right scope prefilled. Attestations, registers, FCA self-assessments, specialist forms (CASS, CONC, COBS, ICOBS, MIFIDPRU, FUND). The "one register, every regulatory obligation" promise, delivered.

62 forms · One task surface

Drag-drop Form Builder

14 field types, multi-page forms, custom forms become first-class citizens of the same Table / Calendar / Kanban / approval workflow as the expert templates. Not a separate "low-code" tool bolted on — same surface as everything else.

14 field types · Multi-page

2 Monitor & evidence Live registers, cross-module aggregation, drag-drop ops.

Unified live registers

Complaints (DISP), Breaches (SUP 15.3), G&E, Conflicts, Fraud, PEPs, Suitability Reports, Call Monitoring, Financial Promotions (6 regime variants), Ad-Hoc Tasks. Sortable, searchable, paginated, CSV-exported. The "one register" the FCA expects.

DISP · SUP 15.3 · CSV-export

Cross-module aggregation

Risk Register entries, Financial Crime submissions (AML, CDD, sanctions, MLRO Report), Data Protection actions, Custom Forms — all surface here automatically through the shared task cache. The Compliance Officer sees firm-wide posture without switching modules.

Hub-wide · Firm-level view

Kanban + dual-mode Calendar

Drag-drop board across every task type — CMP areas, attestations, registers, custom forms — with 4 status columns. Toggle the calendar between your tasks and 27 curated FCA regulatory events for 2025–2027 (consultations, deadlines, fines).

4 statuses · 27 reg events

3 Report & sign Anna drafts. The SMF16 signs. The FCA reads.

12-section Annual Compliance Monitoring Report

Anna drafts every section from your live data — areas, findings, actions, evidence, attestations, registers. Cited to SYSC 6.1, SYSC 6.2, PRIN 2A, MLR 2017, POCA, COBS, ICOBS, MCOB, CONC, CASS, MIFIDPRU, GDPR and COCON by exact rule reference. Section-by-section regenerate. Edit. Export.

13 statute anchors · Live-grounded

On-demand Board Summary

Pick a date range. Click Generate. Anna produces the period executive summary from live data — opening assessment, critical numbers, areas requiring immediate attention (each tied to a specific FCA Handbook rule), 5-tier action plan. The board pack the night before — without the night-before scramble.

5-tier action plan · FCA-cited

SMF16 attestation & year-lock

Section 12 of the Annual Report carries a SMF16 attestation — confirming the plan operated effectively, findings managed, material risks under control. Sign once, lock the year. Reproducible three years later when an s.166 review revisits.

SMF16-signed · Year-locked

Every UK regulatory perimeter your firm touches. One module.

Eight regulators, 74 categories, 1,101 expert checks — feeding Anna's 12-section Annual Report and the 27-event regulatory calendar.

1,101

Expert checks

Enterprise quality. SME pricing.

From £500/month · No tier gate. No add-ons. No setup fee.

See it in your firm

Inside the module

Every monitoring job. In one place.

A glimpse of the operating system the SMF16 works in every day. A live MI dashboard. The 1,101-template Compliance Monitoring Plan. Attestations. Registers. A Kanban for the day-to-day. A dual-mode Calendar (your tasks + the regulator's). Anna's 12-section Annual Report. Click any tab below to look inside.

The Head-of-Compliance landing surface. 14 live tiles: Total/Open/Closed/Overdue KPIs with sparklines, Completion Rate, Health Score, RAG distribution donut, Approval Rate, Module Health register, RAG by Module, Status Distribution, Monthly Trend and the Module Breakdown table. Click any tile for one-click drill-down to the underlying records — Risk items get an orange "Open in Risk" jump; everything else opens the submission inline.

Two views, one tab. Attestations tracks every formal declaration your firm has to make (CASS, MIFIDPRU, Consumer Duty, SM&CR, GDPR, Compliance Reports). Registers holds every event your firm needs to record — Complaints, Breaches, Gifts & Entertainment, Conflicts, Fraud, PEPs, Suitability, Call Monitoring. Same status chips, same maker-checker approval workflow, same Drive-backed evidence trail. The 12 FCA Principles are individually ticked on every Compliance Attestation — and the form can't be submitted until each one is signed off.

1,101 expert-built monitoring checks across 74 regulation-anchored categories, organised on a five-prefix architecture: A FCA backbone (~440) · B Financial Crime (~145) · C Data, Privacy, Cyber & AI Governance (~145 — including 15 dedicated AI Governance checks for UK GDPR Art 22 / FCA FS2/23) · D non-FCA statutory (~145 — HMRC, HSE, TPR, Companies House, Home Office, EU DORA) · E firm-type chapters (~225). Each template ships with a regulatory reference chain, plain-English Objective and Commentary that pre-populate as in-form guidance.

A Kanban that aggregates every task type onto one board — Hub tasks, CMP monitoring activities, attestations, registers, custom forms — organised by Status (Pending · Open · Sent for Approval · Closed) or by time bucket (Do Today · Do This Week · Do This Month · Do This Year). Card anatomy: status-coloured header, owner, due, tag chips, View Form. Drag-drop between columns. The same approval workflow flows through every card.

Four synchronised views (Day · Week · Month · Year), aggregating tasks from every source — CMP, Attestations, Registers, Custom Forms. Filter by source, category, owner, status or approval. Search across title and metadata. Drag-drop to reschedule. Year view spans 5 years (2024–2028), so the calendar is a living instrument, not a point-in-time snapshot.

The regulator's calendar, in the platform. FCA consultation deadlines, implementation dates, enforcement fines and review periods — curated monthly, click any event for the source-quoted description. Plan your monitoring activities around what the FCA is publishing, not after. Most firms rebuild this in Excel every quarter; here it ships as a live surface alongside your task calendar.

Anna's headline deliverable. A 12-section Annual Compliance Monitoring Report drafted from your live data — Executive Summary, Plan Coverage, Plan Execution, Attestations Programme, Registers Activity, Top Findings, Findings by Category & Severity, Remediation Status, Evidence Summary, Regulatory Mapping & Perimeter, Material Issues & Notifications, Compliance Officer Attestation & Forward Plan. Generate sections individually or in batch. Edit in place. Export as HTML. Cited to SYSC 6.1, SYSC 6.2, PRIN 2A, MLR 2017, COBS, ICOBS, MCOB, CONC, CASS, MIFIDPRU, GDPR, COCON.

What makes us different. Above every assessment sits two or three paragraphs of plain-English regulatory guidance — what the FCA expects, what enforcement action has been taken, and what good looks like. Your compliance team is trained while they work, and every completed form counts as CPD. Every senior-manager sign-off carries the regulatory rationale in the same record, so when the FCA asks "did you understand what you signed off?" the answer is right there.

Long compliance days, gentler on the eyes. A full dark mode across every Compliance Monitoring Hub screen — same WCAG-compliant contrast, same audit accuracy, just easier to live in.

The 12-Section Annual Compliance Monitoring Report

Drafted by Anna. Signed by your SMF16.

The same regulatory document the FCA expects under SYSC 6.1.5G — produced in 60 seconds, not eight weeks. 12 sections, named attestor, 13 statute anchors, year-end lock that makes 2026's report still reproducible in 2029 when an s.166 review revisits.

Twelve sections. Drafted from your live data.

One click per section, or generate all 12 at once. Anna pulls every CMP area, attestation, register entry, finding, action and evidence file from your CMP and drafts every section in formal board-room language. Edit in place. Export as HTML. The Compliance Officer signs §12 and locks the year.

Anna's system prompt cites 13 specific UK regulatory anchors — SYSC 6.1, SYSC 6.2, PRIN 2A, MLR 2017, POCA, COBS, ICOBS, MCOB, CONC, CASS, MIFIDPRU, GDPR and COCON — and is constrained to use only the data the platform supplies. No invented findings, no placeholder examples, no LLM arithmetic drift.

Sections

Statute anchors

60s

Per-section draft

Hallucinated facts

Executive Summary

SYSC 6.1.5G

Monitoring Plan Coverage

SYSC 6.1.1R

Plan Execution & Completion Rate

SYSC 6.1.2G

Attestations Programme

SYSC 6.1 / 6.2

Registers Activity

DISP · SUP 15.3

Top Findings

SYSC 6.1.2G

Findings by Category & Severity

SYSC 6.1

Remediation Status

SYSC 6.1.4R

Evidence Summary

SYSC 6.1.2R

Regulatory Mapping & Perimeter

SYSC · COBS · CASS

Material Issues & Notifications

SUP 15.3 · POCA · OFSI

SMF16 Attestation & Forward Plan

PRIN 2A · COCON

Live Sample · Anna-drafted from real data

Every finding. Every action. Every owner.

Section 6 ranks every finding by severity. Section 7 charts category vs severity distribution. Section 8 tracks remediation by owner and target date. Anna pulls all three from your live CMP — no spreadsheet hand-stitching, no drift between the report and the register.

Ref.	Finding	Category	Severity	Status	Owner	Target Close
F-001	Modern Slavery Act 2015 — FY2025 Annual Statement published 47 days late Calendar-control failure. SM&CR ownership not assigned at Senior Manager level.	Governance & SM&CR	Major	Open	Compliance Officer	3 May 2026
F-002	FSA002 Q4 2025 — CET1 reconciliation variance of £127k Capital adequacy submission variance. MIFIDPRU 2 / SYSC 6.2 record-keeping gap.	RegData / Capital	Major	Open	Head of Finance	19 Jun 2026
F-003	CASS 6.6 — Annual CASS attestation completed within deadline No control failure. Evidence cited in §9. SMF16 attestor named.	Specialist (CASS)	OK	Closed	CASS Officer (SMF18)	31 Mar 2026
F-004	Consumer Duty annual outcomes review — 0 of 1 area reviewed PRIN 2A monitoring evidence not yet uploaded. Single CMP area scheduled, completion 0%.	Consumer Duty	Minor	Open	Consumer Duty Champion	30 Jun 2026

Section 12. The honest attestation the FCA reads first.

Anna doesn't paper over the gaps. The §12 attestation cites the SYSC obligations the SMF16 is bound by, names every finding open at year-end, and qualifies the sign-off precisely where the live data demands it. The output you see below is generated verbatim from a real firm's data — not a marketing mock.

Section 12.1 · Compliance Officer Attestation

"I, as Compliance Officer and holder of Senior Management Function SMF16, hereby attest that, in respect of the financial year ended 31 March 2026, the firm's Compliance Monitoring Programme has been established and maintained in accordance with the obligations imposed by SYSC 6.1.1R and operated in a manner consistent with SYSC 6.2.1R. Notwithstanding the foregoing, I am required to bring to the Board's attention that the CMP for FY 2026 recorded a completion rate of 0% across all five scheduled monitoring areas, with fourteen of seventeen attestations remaining outstanding, and that two Major findings — relating to the late publication of the Modern Slavery Act Annual Statement and an unreconciled CET1 variance of £127,432 — remain open with no remediation actions completed to date. The aggregate position means I cannot, in good conscience, attest that the compliance monitoring framework has operated fully effectively during the period under review. The matters identified are escalated in this report, remediation timelines have been assigned, and the Board must treat the forward plan set out below as a matter of immediate priority."

SMF16 · Compliance Officer

Named individual under SYSC 6.1.1R / FIT 2.1

Signed · FY 2026 locked

Section 12.2 · Prioritised Forward-Plan Recommendations

Issue	Regulatory Anchor	Required Board Action	Target
Zero CMP completion rate — FY 2026 Direct SMF16 to present a time-bound catch-up schedule.	SYSC 6.1.1R · 6.2.1R	Approve remediation timetable; consider additional compliance resource.	30 May 2026
Modern Slavery Act 2015 — late statement Direct Board Audit Committee to receive a root-cause report.	MSA s.54 · COCON 2.1	Assign named director as MSA owner; add to annual compliance calendar.	3 May 2026
FSA002 Q4 2025 — CET1 variance £127k Direct Finance Director to provide written confirmation of correcting journal.	MIFIDPRU 2 · SUP 16	Revised reconciliation prior to Q1 2026 submission; update Capital Adequacy Procedure Manual.	19 Jun 2026
Attestation completion — 14 of 17 outstanding Direct SMF16 to present an attestation completion schedule.	GDPR · MLR 2017 · POCA	Escalate attestation obligations to all relevant Senior Managers under SM&CR / COCON 2.2.	30 Jun 2026

Year-end lock applied · 31 March 2026 Read-only snapshot. Reproducible verbatim in 2028 when the auditor or s.166 review revisits.

Anna AI

Your 12-section Annual Compliance Monitoring Report in 60 seconds.

Click once. Anna pulls every CMP area, attestation, register entry, finding, action and evidence file from your live record, drafts all 12 sections, and cites SYSC 6.1, SYSC 6.2, PRIN 2A, MLR 2017, POCA, COBS, ICOBS, MCOB, CONC, CASS, MIFIDPRU, GDPR and COCON by exact rule reference. Plus an on-demand Board Summary for the next board meeting. Both grounded in 150+ expert-authored documents. Both drafted from your live data. The platform pre-calculates every percentage so Anna handles the analysis, not the arithmetic.

SYSC 6.1 EXPERT · 1,101 TEMPLATES TRAINED · 150+ DOCS GROUNDED

Your Annual Report drafter, Period board-pack writer, and overdue-reviews sentinel.

Anna writes the 12-section Annual Compliance Monitoring Report from your live monitoring areas, attestations, registers, findings, actions and evidence. She produces an on-demand Board Summary citing the exact FCA rule that explains each Red RAG. And she watches your schedule, flagging what's overdue and what's about to slip — so the board never finds out before you do.

Annual Compliance Monitoring Report — 12 sections, generate one at a time or all at once, edit in place, export as HTML
On-demand Board Summary — 2,000 words, FCA-cited, board-ready PDF in one click
Accurate every time — the platform pre-calculates every percentage, so Anna handles the regulatory analysis, not the arithmetic
Saves your work between sessions — write Section 4 today, come back next week and pick up Section 5 — your edits are still there

Period MI Executive Summary

Anna writes your next board pack in 60 seconds. Cited to the FCA Handbook.

Pick a date range. Click Generate Report. Anna produces a 2,000-word executive summary from your live data — opening assessment, critical numbers, key highlights, areas requiring immediate attention (each tied to a specific FCA Handbook rule), and a 5-tier time-banded action plan. Edit in the browser. Export as PDF. Done.

Grounded in 150+ expert-authored docs & your live tenant data
Cites COBS, DISP, SYSC, MLR, DEPP, PRIN by exact rule reference
Pre-calculates every percentage — no LLM arithmetic drift
5-tier action plan: Immediate · Short · Medium · Strategic · Regulatory Engagement

Anna AI

Generating Executive Summary · 24s elapsed

Generate the period MI summary for the board pack. Last 3 months.

Areas Requiring Immediate Attention

Call Monitoring failures — Red RAG indicates potential breaches of COBS 11.8 (Telephone & electronic communications), exposing the firm to FCA enforcement action under DEPP 6.2.
Complaints Audit failures — Red RAG suggests non-compliance with DISP 1.10 (Complaints data publication) and DISP 1.9 (Complaints reporting), creating reporting risks and potential customer detriment.
Risk Register completeness — All six items remaining open indicates potential gaps in risk identification under SYSC 7.1.1R.

Closure rate 9.1% · Overdue rate 45.5% · Health Score 58% — material board-level intervention recommended.

Cited: COBS 11.8 · DISP 1.9 / 1.10 · SYSC 7.1.1R · DEPP 6.2

Generate · Edit · Export PDF…

→

Anna drafts your board pack and Annual Report from your live data.

The Annual Compliance Monitoring Report and the Period MI Executive Summary are both included with the Compliance Monitoring Hub. See Anna draft your board pack in a live demo.

Book a live demo See everything Anna produces

FAQs

Compliance Monitoring Hub: Questions Answered

Everything you need to know about the 1,101-template library, the seven-tab interface, the two Anna AI reports, the Regulatory Calendar, and how the module fits into your wider compliance programme.

What's actually inside the Compliance Monitoring Hub?

Seven tabs over one data layer. Dashboard (14 live MI tiles with one-click drill-down). Attestations (CASS, MIFIDPRU, Consumer Duty, SM&CR, GDPR submission tracker). Registers (Complaints, Breaches, G&E, Conflicts, Fraud, PEPs, Suitability, Call Monitoring). CMP (1,101 expert-built monitoring check templates across 74 categories spanning 8 regulators). Kanban (drag-drop board across all task types). Calendar (dual-mode: your Tasks Calendar + the FCA's Regulatory Calendar). Anna Report (12-section Annual Compliance Monitoring Report). Plus a built-in Form Builder with 14 field types so firm-specific work lives in the same surface.

What's in the 1,101-template library?

Five prefixes, 74 categories, 1,101 monitoring check templates. A (FCA Operating Backbone): 31 categories, ~440 templates covering SUP 16 returns, SM&CR, Consumer Duty, financial promotions, complaints, transaction reporting and more. B (Financial Crime): 10 categories, ~145 templates mapping 1:1 to the Financial Crime Suite. C (Data, Privacy, Cyber, AI & DORA): 10 categories, ~145 templates including 15 dedicated AI Governance checks (UK GDPR Art 22, FCA FS2/23) and dual-regulator FCA+ICO notification rows for data and cyber breaches. D (Non-FCA Statutory): 10 categories covering HMRC/CCO, HSE, Employment Law, Modern Slavery, ESG/SDR, Pensions Auto-Enrolment, Companies Act. E (Firm-Type Chapters): 13 chapters covering IFA, payments, crypto, wealth, insurance, credit, fund and AR networks.

Does it really cover 8 regulators?

Yes — and this is the module's most undersold capability. FCA (every sourcebook a regulated firm touches), ICO (UK GDPR, PECR), HMRC (Corporate Criminal Offences), HSE (Health & Safety at Work), TPR (Pensions Auto-Enrolment), Companies House (Companies Act 2006 obligations), Home Office (Modern Slavery Act), and EU DORA (digital operational resilience). The C9 AI Governance pack alone — 15 monitoring checks — is what Credo AI charges £30k–£50k/year for as a standalone tool. Here it's bundled.

Can I add my own custom checks and forms?

Yes. The built-in Form Builder ships with 14 field types (Short Text, Long Text, Number, Date Picker, Dropdown, Radio, Multi Select, Matrix Grid, File Upload, Divider, Page Break, Spacer, Section Header, Info Text). Your own forms work exactly the same as the expert-built ones — they show up in the Table, Calendar and Kanban views with the same approval workflow. Custom monitoring checks sit alongside the 1,101 library templates with the same Owner / Frequency / Status / Evidence / Findings structure.

What are the two Anna AI deliverables?

Annual Compliance Monitoring Report — a 12-section governance artefact (Executive Summary, Plan Coverage, Plan Execution, Attestations Programme, Registers Activity, Top Findings, Findings by Category & Severity, Remediation Status, Evidence Summary, Regulatory Mapping & Perimeter, Material Issues & Notifications, Compliance Officer Attestation & Forward Plan). Generate per-section or in batch, edit in place, persist across sessions, export as HTML.

Period MI Executive Summary — a 2,000-word board-narrative for any selected date range (Today / Week / Month / 3M / 6M / All), with a 5-tier time-banded action plan (Immediate / Short / Medium / Strategic / Regulatory Engagement). 20–45 second generation. PDF export via native browser print.

How accurate are Anna's FCA Handbook citations?

Anna is grounded in 150+ expert-authored RegTechPRO documents and 25+ years of FCA expertise — not generic AI output. In a live demo: COBS 11.8 cited for Call Monitoring failures, DISP 1.9 + DISP 1.10 for Complaints Audit, SYSC 7.1.1R for Risk Register gaps, MLR 2017 for AML overdue items, DEPP 6.2 for the enforcement consequence — every citation matched to its specific issue. The platform pre-calculates every percentage and gives Anna the figure to use, so she handles the regulatory analysis and citations, never the maths. The numbers in the narrative always match the dashboard.

Does Anna replace consultants?

She does the drafting work — your consultant still owns the judgement calls, skilled-person reviews, incident response and one-off strategy. Anna handles the heavy-lifting drafting, citation matching, and report regeneration. Both the Annual Report and the on-demand Board Summary are included with the module — no per-report charges.

What's the Regulatory Calendar?

A curated, manually-maintained calendar of FCA consultation deadlines, implementation dates, enforcement fines and review periods — inside the platform, alongside your firm's own Task Calendar. Click any event for the source-quoted description. Most firms rebuild this in Excel every quarter; here it's a live surface refreshed monthly. The dual-mode toggle lets the compliance officer see "what's coming from the FCA" and "what's due in our programme" on the same screen.

How does the module connect to the other RegTechPRO modules?

The Compliance Monitoring Hub sits at the centre of the platform — every other module connects to it. Financial Crime Suite mirrors the AML/sanctions monitoring checks one-for-one. Consumer Duty pushes its assessment areas in automatically. Complaints from this module's Registers feed into your monitoring findings. Risk Management items show up in the Dashboard's drill-downs with one-click "Open in Risk" navigation. Policy commitments become tracked tasks. People Compliance feeds the SM&CR monitoring checks. Data Protection feeds the GDPR / PECR / cyber checks. One register, one MI dashboard, one audit trail across the whole compliance programme.

How much does the Compliance Monitoring Hub cost?

From £500/month. See the pricing calculator to build your subscription.

Can I just buy this module on its own?

Yes. From £500/month gives you the full Compliance Monitoring Hub plus the always-included foundation modules (Firm Compliance, Document Library, Horizon Scanning, Media Hub, Anna AI Chatbot, Unlimited Users & Workflows). Add any other module and the modular calculator at regtechpro.co.uk/pricing handles the rest.

What's the Kiosk Mode bolt-on?

£75/month. A guided "kiosk" surface for first-line staff to log records (complaints, breaches, gifts) without seeing the full compliance programme. Available only as an add-on to the Compliance Monitoring Hub. Great for branch staff, call-centre agents, or distributed teams who need to capture data but shouldn't see the full register.

How long does setup take?

Under a day for most firms. The module ships with the full 1,101-template library pre-seeded and the 74 categories pre-filtered. Tell us your firm type and permissions and the relevant A + E + D chapters activate automatically. Or ask Anna to propose a starter plan. Owners, frequencies and next-due dates are set per area. No migration project. No consultant needed to "design the framework".

I'm a compliance consultant. Can I run this across my client book?

Yes — this is one of the module's strongest use cases. Each client gets its own workflow with its own monitoring schedule, findings register, attestations, registers and Anna reports. You use the Workflow selector's "All Workflows" aggregator to produce cross-book dashboards for your quarterly practice review. Mutations are always scoped to a single client at a time — audit-safe by design. Bundled pricing applies per client workflow.

How does the multi-tenant workflow filter work?

Every record, submission, document and Anna output is scoped to a specific workflow (technical client ID). Users see only the workflows they've been linked to. AR firm users see no dropdown — their firm name is a static label. Principal firms see their own workflow + every AR + an "All Workflows" aggregated view. Compliance consultants see only their clients. A 10-AR principal gets 2,280+ distinct reportable MI views (12 workflow options × 6 date presets × 38 modules) — every one Anna-narratable in 60 seconds, every one PDF-exportable.

What audit trail do FCA inspectors see?

Every record carries a timestamped activity log: who created it, who edited it, who approved it, what evidence was attached. Every monitoring area carries a Findings History with severity, root cause, owner, target close date and closure evidence. Every attestation has the senior manager's email, the date submitted, and the 12 FCA Principles individually ticked. Per-area CSV exports give a supervisor or s.166 reviewer the complete deep-dive on any single area. The workflow scoping means each client's trail is isolated.

Are the Anna outputs reproducible across years?

The Annual Compliance Monitoring Report sections persist in the module's state row — generate a section, edit it, log out, come back next month, the content is still there. When a year closes, its findings, attestations and schedule lock: read-only, no accidental overwrites, still exportable. April 2027 auditors can open your 2026 Annual Report and the underlying findings, evidence artefacts and template versions all still match. This is how the module supports s.166 reviews and historical FCA queries without rebuilding the year.

Where is the data stored and how is it secured?

UK-hosted on SOC 2 and ISO 27001 certified infrastructure. Form submissions stored in JotForm's EU servers. File uploads sit in your own Google Drive folder, with the full revision history as your audit trail by default. Anna runs on Anthropic's UK/EU regions. ICO Registered. The multi-tenant data isolation is built into the architecture — if a user isn't linked to a workflow, the platform shows zero records, not all records. Cross-client data leakage is structurally prevented, not just configured.

The compliance monitoring operating systemyour firm needs.