Regulated Firms. Appointed Representatives. Complete Oversight.
Manage your firm records, AR network, and due diligence in one place. Track verification status, maintain document trails, and demonstrate principal oversight to the FCA.
Manage your regulated firm and appointed representative network with dedicated workflows for each.
Your FCA-authorised firm record with complete regulatory details, permissions, and compliance status tracking.
Network member records with principal oversight, AR-specific due diligence, and SUP 12 compliance tracking.
Comprehensive due diligence tracking for both regulated firms and appointed representatives. Track received documents, chase outstanding items, and maintain complete audit trails.
Everything you need to manage firm records, AR relationships, and regulatory compliance.
24-item due diligence checklists for both firms and ARs. Track received, requested, and pending documents.
Secure Google Drive integration. DD documents stored and linked to each firm or AR record automatically.
Connect SM&CR individuals to their firm or AR. Track certification status and F&P requirements per entity.
RAG status indicators show compliance health at a glance. Identify issues before they become problems.
Full audit trail of all submissions and changes. See who updated what, when, for complete accountability.
Capture FRN, permissions, controllers, close links, and all regulatory details in structured form fields.
If you're a principal firm with appointed representatives, track your entire network's compliance status in one dashboard. Meet your SUP 12 oversight obligations with confidence.
Bird's-eye view of all ARs with compliance RAG status
Automatic notifications when AR compliance status changes
Export ready reports for FCA principal oversight requirements
Start your free trial and get complete oversight of your regulated firm and AR network. Due diligence checklists, document storage, and audit trails included.
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