Included Module: Firm Compliance

Firm Oversight
Made Simple

Whether you're a Directly Authorised firm, a Principal with an AR network, an Appointed Representative, or a Consultant managing multiple clients — manage entity records, due diligence, documents, and FCA reporting from one platform - all while giving portal access to those entities for full transparency

Trusted by 250+ UK-regulated firms

Point DD Checklist

SUP 12

Compliant

100%

Audit Trail

Directly Authorised Principal Firms Appointed Representatives Consultants FCA Dashboard Due Diligence

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THE PROBLEM

Firm Compliance Without the Right Tools

Whether you're a Directly Authorised firm, managing an AR network, an AR, or a consultant overseeing multiple clients — scattered spreadsheets and disconnected systems create compliance risk at every level.

Fragmented Entity Records

Firm details, FRN numbers, controllers, and close links scattered across multiple spreadsheets with no single source of truth.

No Compliance Overview

No centralised dashboard to see your firm's compliance status at a glance — or monitor AR networks if you're a principal firm.

Due Diligence Gaps

Missing documents, expired certificates, and incomplete checklists that only surface during FCA visits or audit reviews.

Documents Everywhere

Critical compliance documents — PII certificates, AML policies, AR agreements — lost in email threads and shared drives with no version control.

SUP 12 Anxiety

Preparing SUP 12 reporting manually is time-consuming and error-prone, with no confidence that your submissions meet FCA standards.

No Expiry Tracking

Certificates, agreements, and compliance documents expire silently — you only discover gaps when it's too late to act.

ENTITY MANAGEMENT

Full Entity Management & Due Diligence

Every firm detail, FRN, controller, and close link in one centralised record — with structured due diligence tracking built in.

FIRM RECORDS

Full Entity Management

Centralised firm records with FRN lookup, permission tracking, controller details, and close links — all linked to the FCA Register. Consultants can manage records across multiple client firms.

FRN Lookup & Validation
Permission Tracking
Controller & Close Links
Compliance Status Dashboard

Firm Compliance — Entity Records

FCA Linked Register Verified

Point DD Checklist

Per Appointed Representative

SUP 12

Compliant Reporting

FCA-Ready Submissions

AR NETWORK

Network Oversight Dashboard

For principal firms and ARs: monitor compliance status with RAG ratings, due diligence progress, risk alerts, and SUP 12 reporting from a single dashboard.

Compliance RAG Status
DD Progress Tracking
Risk Alerts & Notifications
Network Analytics

32 Active ARs Monitored

DUE DILIGENCE

24-Point DD Checklist

Structured due diligence workflow with Kanban-style progress tracking. AR agreements, PII certificates, AML policies, and more.

Due Diligence — Kanban Board

DOCUMENTS & OVERSIGHT

Document Storage & Compliance Oversight

Centralised document management with linked users, auto-filing, and version control — plus AR network oversight for principal firms.

DOCUMENT STORAGE

Document Storage & Linked Users

Centralised document repository integrated with Google Drive. Auto-filing, version control, access controls, and complete audit trail for every compliance document.

Google Drive Integration
Linked Users & Access Control
Auto-Filing & Version Control
Complete Audit Trail

Firm Compliance — Document Storage

Auto-Filed Version Controlled

SM&CR

F&P Requirements

Fitness & propriety document tracking linked to individual certification holders and senior managers.

CERTIFICATION

Expiry Monitoring

Automated alerts for expiring certificates, agreements, and compliance documents before they lapse.

AR OVERSIGHT

Principal Oversight for AR Networks

Full oversight toolset for principal firms — AR agreement builder, risk alerts, SUP 12 reporting, compliance RAG, and automated notifications.

AR Agreement Builder
SUP 12 Reporting
Risk Alerts
Export Reports

AR DASHBOARD

AR Network Dashboard

Real-time visibility into your entire AR network — compliance status, risk ratings, due diligence progress, and monitoring alerts. Essential for principal firms, ARs, and consultants managing client networks.

Firm Compliance — AR Network

SUP 12 Compliant

INSIDE THE PLATFORM

See Firm Compliance in Action

Purpose-built workflows for due diligence tracking and network management — designed for compliance teams who demand precision.

DD WORKFLOW

Due Diligence Tracking

Kanban-style boards let you track every DD item from initiation through to completion — with status indicators and document linking.

Due Diligence — Progress Board

NETWORK VIEW

Network Management

Complete network overview with AR status, agreement details, risk indicators, and one-click SUP 12 reporting.

Firm Compliance — Network Management

WHY REGTECHPRO

Replace Manual Processes with Confidence

Stop relying on spreadsheets, email chains, and manual reviews. Get enterprise-grade firm compliance at a fraction of the cost — whether you're a firm or a consultant managing clients.

The Old Way

£70,000+

Per Year (Typical Cost)

Manual entity tracking in spreadsheets
Email-based document exchange
Annual DD reviews only
No real-time AR monitoring
Manual SUP 12 preparation

RECOMMENDED

RegTechPRO

From £200

Per Month

Centralised entity management
Auto-filed document storage
24-point DD with live tracking
Real-time AR network dashboard
Automated SUP 12 reporting

Ready to Manage Your
Firm Compliance?

Join 250+ UK-regulated firms and consultants — Directly Authorised, Principal, ARs, and compliance consultancies — using RegTechPRO to manage entity records, due diligence, and reporting from one platform.

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

Next-Gen FCA Compliance Platform

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