Due Diligence Hub

Firm Compliance

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.

Trusted by 250+ UK-regulated firms

24-Point DD Checklists

AR Network Management

SUP 12 Ready

Start Your Free Trial See What's Included

Regulated Firm FCA Authorised

Appointed Rep Network Member

SM&CR Individual Certified Person

The Challenge

Managing Firm Records is Complex

Regulatory oversight demands meticulous record-keeping. Without the right tools, it's a compliance risk waiting to happen.

Scattered Documents

DD files lost across emails, shared drives, and filing cabinets. No single source of truth for audit.

Missing Deadlines

Renewals slip through the cracks. PII certificates expire. AR agreements go unsigned for months.

SUP 12 Risk

FCA expects principal oversight. Without proper tracking, demonstrating compliance is nearly impossible.

The Platform

Complete Firm Management in One Place

From regulated firms to appointed representatives, track every entity with structured workflows and complete audit trails.

Firm Records

Full Entity Management

Capture FRN, permissions, controllers, close links, and all regulatory details in structured form fields.

DD Items

100%

Audit Trail Coverage

SUP 12

Principal Oversight Ready

AR Network

Network Oversight Dashboard

Bird's-eye view of all ARs with compliance RAG status and due diligence progress.

Acme Consulting Ltd

Investment Advice

Compliant

Bright Financial

Mortgage Advice

Compliant

Capital Wealth

Wealth Management

Review Due

Due Diligence

24-Point DD Checklist

Comprehensive verification tracking for firms and ARs. Track received, requested, and pending documents.

AR Agreement PII Certificate AML Policy +21 more items

78%

Complete

Powerful Features

Everything You Need for Compliance

From document storage to submission history, manage every aspect of firm compliance.

Document Storage

Secure Google Drive integration. DD documents stored and linked to each firm or AR record automatically.

Linked Users

Connect SM&CR individuals to their firm or AR. Track certification status and F&P requirements per entity.

Compliance Status

RAG status indicators show compliance health at a glance. Identify issues before they become problems.

Submission History

Full audit trail of all submissions and changes. See who updated what, when, for complete accountability.

Firm Details

Capture FRN, permissions, controllers, close links, and all regulatory details in structured form fields.

Network Dashboard

Bird's-eye view of all ARs with compliance RAG status. Meet SUP 12 oversight obligations with confidence.

AR Network Overview

12
Active ARs

Compliant

Review Due

Acme Consulting Ltd Investment Advice

Compliant

Bright Financial Services Mortgage Advice

Compliant

Capital Wealth Advisors Wealth Management

Review Due

Network Management

Principal Oversight for AR Networks

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.

Network Dashboard

Bird's-eye view of all ARs with compliance RAG status

Risk Alerts

Automatic notifications when AR compliance status changes

SUP 12 Reporting

Export ready reports for FCA principal oversight requirements

Ready to Manage Your Firm Compliance?

Get complete oversight of your regulated firm and AR network. Due diligence checklists, document storage, and audit trails included.

Start Your Free Trial

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

Network Dashboard

Risk Alerts

SUP 12 Reporting

Lighten the Load of FCA Compliance.

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