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Directly Authorised Firms — FCA Compliance Without the Overwhelm | RegTechPRO
For Directly Authorised Firms

FCA Compliance Without
the Overwhelm.

You didn't start your business to spend every day buried in compliance paperwork. RegTechPRO gives you the structure, tools, and templates to stay on top of your FCA obligations — without hiring a full-time compliance team.

Trusted by 250+ UK-regulated firms

70+
Compliance Modules
All
FCA Activities
25+
Years Expertise
Task Management Document Library Risk Register Anna AI MI Dashboard SM&CR
Start Your Free Trial See What's Included
THE CHALLENGE

The Reality of Running a Small Regulated Firm

You're not alone. These are the challenges we hear from directly authorised firms every day.

Drowning in Paperwork

Policies scattered across folders, outdated templates, and no clear system to track what needs updating. Every audit feels like starting from scratch.

Regulatory Anxiety

Constant worry about what you might be missing. New FCA rules, Consumer Duty updates, AML requirements — it's overwhelming keeping track of it all.

Consultant Costs

£70,000+ per year for external compliance support, but still feeling uncertain about whether you're actually covered. The bills keep coming.

Missed Deadlines

REG-DATA submissions, annual reviews, training renewals — without a proper system, something always slips through the cracks.

SM&CR Confusion

Statements of Responsibilities, Fit & Proper assessments, certification regime — you know you need to do it, but the requirements feel impossibly complex.

No Audit Trail

When the FCA comes calling, can you prove what you've done? Evidence scattered everywhere, version control non-existent, records incomplete.

COMPLETE SOLUTION

Everything You Need in One Platform

RegTechPRO replaces spreadsheets, consultants, and compliance chaos with a structured, intelligent system built specifically for UK-regulated firms.

WORKFLOW ENGINE

Task Management

Never miss a deadline. Intelligent task orchestration with automated reminders, approval workflows, and real-time progress tracking.

  • Auto reminders & escalations
  • Calendar sync & analytics
  • Table, Calendar & Kanban views
RISK FRAMEWORK

Risk Register

Identify, assess, and monitor risks with likelihood and impact scoring. Interactive heat maps and control mapping.

  • Interactive heat maps
  • Control mapping
  • Risk appetite statements
AI ASSISTANT

Meet Anna

Your 24hr compliance companion. Ask questions in plain English, get answers grounded in your firm's data and FCA requirements.

  • FCA regulatory expertise
  • Board report generation
  • 24/7 availability
70+
Modules
All FCA requirements covered
50+
Templates
Auto-assigned policy library
55+
Monitoring Areas
Predefined schedules & tracking
70+ MODULES

Your Complete Compliance Toolkit

Every module includes detailed guidance, pre-built templates, and intelligent workflows to keep you on track.

DOCUMENTS

Document Library

50+ auto-assigned policy templates with version control and audit trails.

MONITORING

Monitoring Plan

55+ monitoring areas with predefined schedules and remediation tracking.

ANALYTICS

MI Dashboard

Live compliance health metrics, RAG status by module, and trend analysis.

SCANNING

Horizon Scanning

Real-time regulatory updates from FCA, PRA, ICO, and more.

SM&CR

People Compliance

SM&CR management, F&P assessments, SoR management, and CPD tracking.

BREACHES

Breach Management

Investigation workflows, root cause analysis, and FCA/ICO reporting.

WHY REGTECHPRO

Consultants vs RegTechPRO

Enterprise-grade compliance at a fraction of the cost of traditional consulting.

The Old Way
External Consultants
£70,000+/year
  • Policies scattered across folders and email
  • Constant worry about what you're missing
  • Deadlines slip through the cracks
  • No audit trail when the FCA calls
  • SM&CR requirements feel impossibly complex
RECOMMENDED
The RegTechPRO Way
RegTechPRO
From £200/month
  • 70+ modules covering every FCA requirement
  • 50+ auto-assigned policy templates
  • Intelligent task management with reminders
  • Anna AI for instant regulatory answers 24/7
  • Complete audit trail for FCA inspections

Ready to Take Control of
Your Compliance?

Join 250+ UK-regulated firms who've made the switch to RegTechPRO. Enterprise-grade compliance. Accessible pricing.

Start Your Free Trial Talk to Our Team

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

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