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RegTechPRO for Directly Authorised Firms | FCA Compliance Made Simple
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

Start Your Free Trial See What's Included
70+ Compliance Modules
All FCA Regulated Activities
25+ Years Compliance Expertise
Sound Familiar?

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Policies scattered across folders, outdated templates, and no clear system to track what needs updating.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

£15,000+ 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.

RegTechPRO • FCA Compliance Software
WORKFLOW ENGINE
94% Complete

Task Management

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

  • Auto reminders & escalations
  • Approval workflows
  • Calendar sync & analytics
  • Multi-view: Table, Calendar, Kanban
847
Tasks Total
12
Due This Week
4
Views
2.4d
Avg Time
Task Dashboard — Q4 Compliance Review
Table
Calendar
Kanban
List
Q4 Complaints review Dec 15 Done
AML risk assessment update Dec 18 Done
Consumer Duty board report Dec 28 In Progress
Annual SM&CR certification Jan 5 Scheduled
Calendar View December 2024
M T W T F S S
25 26 27 28 29 30 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
Kanban View 4 columns
Open
REG-DATA prep
Policy review
Progress
Board report
Review
SM&CR cert
Done
Q4 review
AML update
Next: 2 days Deadline
FULL COVERAGE

Regulatory Coverage

Comprehensive compliance across FCA conduct rules, financial crime prevention, and data protection frameworks.

Compliance Overview
FCA Conduct Rules
100%
AML/CFT
100%
UK GDPR
100%
RISK FRAMEWORK

Risk Register

Identify, assess, and monitor risks with likelihood and impact scoring.

Risk Heat Map
2
5
3
1
4
6
2
0
23
Total
17
Mitigated
1
Critical
72% Mitigated
AI ASSISTANT

Meet Anna

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

Anna
Compliance Expert
<2s

What's the FCA deadline for Consumer Duty?

The FCA deadline for Consumer Duty implementation was 31 July 2023. I can help you review your ongoing obligations...

24/7 Available
REAL-TIME UPDATES
391 Articles

Horizon Scanning

Stay 'in-the-know' with FCA, financial crime & data protection updates. Filter, search, and build your watchlist.

Latest Updates
HIGH PRIORITY 2 hours ago

FCA publishes updated Consumer Duty guidance on price and value

FCA Yesterday

SM&CR: Annual certification deadline reminder

AML 2 days ago

NCA updates guidance on suspicious activity reports

BOARD REPORTING

MI Dashboard

Transform compliance data into actionable insights. Interactive charts, KPI tracking, and exportable board-ready reports.

Compliance MI
94%
Compliant
847
Tasks
12
Overdue
Jul Aug Sep Oct Nov Dec
94% Compliance
SM&CR

People Management

Complete people management for Senior Managers & Certification Regime. From SMF roles to conduct rules.

Team Overview
JW
SMF1
SM
SMF16
AT
SMF17
RK
Cert
3 SMFs
21 Certified
All F&P Current
24 Certified Staff
70+ Modules

Your Complete Compliance Toolkit

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

Document Library

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

Monitoring Plan

55+ monitoring areas with predefined schedules and remediation tracking.

MI Dashboard

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

Horizon Scanning

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

People Compliance

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

Risk Management

Interactive heat maps, control mapping, and risk appetite statements.

Anna AI

Intelligent assistant for questions, guidance, and FCA requirements.

Breach Management

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

Universal Coverage

Built for All FCA-Regulated Activities

Whether you're an investment manager, insurance intermediary, mortgage broker, or consumer credit firm — RegTechPRO adapts to your regulatory requirements. One platform, all permissions covered.

70+
Compliance Modules
50+
Policy Templates
55+
Monitoring Areas
8
Regulatory Sources
COBS ICOBS CONC MCOB SYSC Consumer Duty SM&CR PROD MLR 2017 UK GDPR DISP FIT SUP TC PRIN MIFIDPRU IPRU-INV GEN
"

Before RegTechPRO, compliance was a constant source of stress. Now I have a clear structure, all my policies are up to date, and I actually know what's happening across my regulatory obligations. It's transformed how we operate.

JW
James Wilson
Director, Wilson Financial Planning Ltd

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

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

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