FCA FINES +337%. IS YOUR FIRM NEXT?

Next-Gen FCA Compliance
Platform for UK-Regulated Firms

Zero compliance gaps. Zero compliance stress. Enterprise-grade compliance software built for UK-regulated firms.

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Platform Overview

See how our 80+ subjects, task manager, and AI assistant work together

Is Your Firm Inspection Ready?

Find out how RegTechPRO ensures you're always prepared

Features Demo

A hands-on walkthrough of RegTechPRO's key features

250+

UK-Regulated Firms

350+

Compliance Templates

11

Compliance Modules

£10m+

Savings Delivered

THE PLATFORM

Everything You Need → One Platform.

RegTechPRO has been designed to lighten the load of compliance on regulated firms.

Built by compliance experts, RegTechPRO brings you peace of mind and evidence to your fingertips.

Compliance Hub Anna AI People Compliance Risk Management MI Dashboard Policy Studio Horizon Scanning Document Library Application Tracker Firm Compliance AR Networks Compliance Monitoring Plan Media Hub Regulatory Calendar Custom Forms Kiosk Forms Compliance Reporting Policy Operationalisation

80+

Templates

02

CORE MODULE

Compliance Hub

Your compliance command centre. Intelligent task orchestration with automated reminders, approval workflows, and real-time progress tracking across Table, Calendar, Kanban, and List views.

Calendar View

Kanban Board

100+ Templates

Exportable Reports

Custom Forms

Real-time Tracking

03

FLEXIBLE VIEWS

Compliance Calendar

Work the way you want. Switch seamlessly between Table, Calendar, and Kanban views. Drag-and-drop rescheduling, bulk actions, and custom forms make compliance management intuitive.

Drag & Drop Tasks

Custom Forms

Calendar Integration

Auto Reminders

04

KANBAN VIEW

Compliance Task Board

Visualise your compliance workload at a glance. Drag and drop tasks 'post-it note style' between status columns, prioritise what matters most, and keep your team aligned with a real-time Kanban board designed for compliance workflows.

Drag & Drop

Team Assignment

Status Tracking

Priority Lanes

05

MONITORING

Compliance Monitoring Plan

Build and execute your compliance monitoring programme with structured testing, evidence collection, and automated scheduling. Track findings, remediation actions, and demonstrate ongoing compliance to the FCA.

Governance

SM&CR

Regulatory Returns

Financial Crime

Client Onboarding

Consumer Duty

Financial Promotions

Complaints

Training & Competence

Operational Resilience

Prudential

Client Money

06

RISK

Risk Management

Comprehensive risk management with automated heat maps, control frameworks, and intelligent scoring. Define your post-control risk appetite, measure actual risks against it, and identify emerging threats before they become issues.

Risk Register

Heat Maps

Risk Appetite

Control Framework

07

FIRM MANAGEMENT

Firm Compliance

Manage your firm's regulatory permissions, appointed representatives, and group compliance. Create isolated workflows for each AR, track permissions, and maintain oversight across your entire regulatory footprint.

AR Management

Permission Tracking

Isolated Workflows

Group Oversight

AR Dashboard

User Management

Due Diligence

08

PEOPLE

People Compliance

Comprehensive people compliance across SM&CR, APER, IDD and non-regulated staff. Manage SMF holders, certified persons, fitness & propriety assessments, conduct rules training, and staff due diligence — all with automated reminders and full audit trails.

SM&CR Directory

Training Tracker

Fit & Proper

CPD Tracking

Senior Managers (SMF)

Certification Regime (CR)

Non-Exec Directors

APER - Approved Persons

IDD Staff

General Staff

Certificate Exports

Fit & Proper Scheduling

09

REGULATORY INTELLIGENCE

Horizon Scanning

Automated regulatory change monitoring from over 200 sources. Impact assessments, implementation tracking, and proactive alerts keep you ahead of regulatory developments that affect your firm.

Deadline Tracking

Financial Conduct Authority

Prudential Regulation Authority

Information Commissioners Office

National Crime Agency

NCSC

Companies House

HMRC

Serious Fraud Office

Sanctions (OFSI)

Treasury

+ More

10

DOCUMENTS

Document Library

Your single source of truth for all compliance documentation. Version control, approval workflows, and intelligent search ensure everyone has access to the right documents at the right time.

Version Control

Approval Workflows

Smart Search

Access Controls

11

NEW FEATURE

Policy Studio

More than just policies—Policy Studio comes with 100+ templates for policies, manuals, forms, and everything in between. Collaborate with Anna AI and your team to create world-class documentation, then use Anna AI to generate actionable tasks.

100+ Templates

AI Integration

Version Control

Auto Task Gen

Review Tracking

Anna AI Integration

Improve Documents

Policy Operationalisation

Approval Workflow

FCA-ready PDF Export

12

FCA APPLICATIONS

FCA Application Tracker

Track your FCA applications from submission to approval. Get key insights and support via specialised FCA application reports from Anna AI — understand what's needed and why. Document checklists, status tracking, and deadline management.

50+ Permissions

Requirements Report

Timeline Alerts

Anna AI Report

Document Info

Business Plan

Capital Info

Fees

Compliance Requirements

Pitfalls

Authorised People

Permissions

13

ANALYTICS

MI Dashboard

Real-time compliance dashboards with AI-generated executive summaries from Anna AI — perfect for quick board report snapshots. Drilldown analysis, exportable reports, and beautiful visualizations that tell your compliance story.

Real-time Metrics

AI Summaries

Board Reports

Drilldown Analysis

14

AI ASSISTANT

Anna AI

Your fully integrated AI compliance expert, available 24/7. Anna drafts documents, analyses regulations, generates executive summary reports, assesses FCA application requirements, and provides documentation feedback and adjustments — all trained on FCA regulations and your firm's specific policies.

Fully Integrated AI

AI Reports & Exec Summaries

FCA Application Assessment

Doc Feedback & Adjustments

15

MEDIA HUB

Media Hub

Tutorials, regulatory intelligence and compliance resources — everything FCA-regulated firms need, in one place. FCA videos, podcasts, press releases, and announcements updated monthly.

FCA Video Content

Regulatory Library

Press Releases

Updated Monthly

16

Ready to Transform
Your Compliance?

Join 250+ UK-regulated firms who've already made the switch. Start your free trial today.

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sales@regtechpro.co.uk

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Head Office

Cambridgeshire, UK