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RegTechPRO - Compliance Modules | 70+ FCA Compliance Workflows

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2 MONTHS FREE
Professional woman working

Essentials

Perfect for getting started

£1,800 £150 / month

Per firm

Get Started

What's Included

  • Task Manager, Calendar & Kanban
  • AI FCA Compliance Assistant
Included Modules
Ad-Hoc Tasks Breach Register Call Monitoring Complaints Conflicts of Interest Risk Management Fraud Events PEPs Gifts & Entertainment Anti-Bribery & Corruption
2 MONTHS FREE
Professional businessman

PRO

Everything you need for compliance

£3,000 £250 / month

Per firm

Get Started

Everything in Essentials, plus:

  • Horizon Scanning
  • Template Library
  • Document Storage
  • MI Dashboard
Additional Modules
Financial Promotions PECR Confidentiality Information Security Sanctions Anti-Money Laundering DISP Complaints Audit Product Assessment Systems & Controls ISO37301 Framework
MOST POPULAR 2 MONTHS FREE
Team collaboration

PRO360

Complete compliance solution

£4,800 £400 / month

Per firm

Get Started

Everything in PRO, plus:

  • Dedicated Account Manager
  • Priority Support
  • People Compliance Module
  • Firm Compliance Module
  • FCA Application Tracker
All Additional Modules
IT/Cyber/PCI GDPR Consent MLRO Report Self Assessment Consumer Duty Suitability Reports SM&CR Vulnerable Customers CASS CONC FPCOBS ICOBS COBS MIFIDPRU Payment Services
Features
EssentialsFrom £150/mo
PROFrom £250/mo
PRO360From £400/mo
Platform Features
Users (only £50/user)Up to 3Up to 5Unlimited
Task Manager
Task Calendar
Kanban Board
AI FCA Compliance Assistant
Horizon Scanning—
Template Library—
Document Storage—
MI Dashboard—
People Compliance Module——
Firm Compliance Module——
FCA Application Tracker——
Dedicated Account Manager——
Priority Support——
Essentials Modules
Ad-Hoc Tasks
Breach Register
Call Monitoring
Complaints
Conflicts of Interest
Risk Management
Fraud Events
Politically Exposed Persons
Gifts & Entertainment
Anti-Bribery & Corruption
PRO Modules
Financial Promotions—
PECR—
Confidentiality—
Information Security—
Sanctions—
Anti-Money Laundering—
DISP Complaints Audit—
Product Assessment (Fair Value)—
Systems & Controls—
ISO 37301 Compliance Framework—
PRO360 Modules
IT Compliance——
Cyber Compliance——
PCI Compliance——
GDPR——
Consent——
MLRO Report——
Firm Self Assessment / Attestation——
Consumer Duty——
Suitability Reports——
SM&CR——
Vulnerable Customers——
Client Money (CASS)——
Consumer Credit (CONC)——
Funeral Plans (FPCOBS)——
Insurance (ICOBS)——
Investments (COBS)——
Capital Adequacy (MIFIDPRU)——
Payment Services (PSRs 2017)——
No setup fees
7-day free trial
UK-based support
GDPR compliant
Complete Compliance Coverage

70+ Compliance Modules,
One Powerful Platform

From FCA conduct rules to GDPR and financial crime prevention — RegTechPRO delivers integrated workflows across every critical compliance area UK firms need.

70+
Compliance Modules
All
Major FCA Regimes
1
Unified Platform
Watch Our Demo View Pricing
ICO Registered
Compliance Platform of the Year 2026 Nominee
Award-Winning Software
UK Based & Hosted
256-bit SSL Encrypted
GDPR Compliant
Complete Coverage

Your Compliance Companion

Take control of your FCA, Data Protection, and Anti-Money Laundering obligations — all in one platform.

📋

Modules:

RegTechPRO helps your firm meet its obligations while lightening the load through automation across FCA, Data Protection and Financial Crime rules.

Board Reporting
📊

MLRO Reporting

Generate comprehensive MLRO reports for board and regulatory submissions. Pre-built templates from our team of compliance experts keep you on track.

  • Annual MLRO reports
  • Board MI packs
  • SAR statistics & trends
  • Regulatory submissions
Report Ready
MLRO ANNUAL REPORT EXECUTIVE SUMMARY SAR STATISTICS RISK ASSESSMENT MLRO Signature SARs FILED 47 ↓ 12% YoY SUBMITTED BOARD DATE 15 JAN
2024
Annual Report
Board Approved
Risk Framework

Risk Register

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

Risks Tracked 24
72%
Mitigated
Low Med High Crit
Incident Response
🚨

Breach Management

Handle regulatory breaches systematically. Investigation workflows, root cause analysis, and reporting to FCA/ICO.

  • Breach categorisation & severity
  • Investigation tracking
  • Regulatory reporting support
Monitoring
0
Open Breaches
✓
✓
3
4
Resolution Progress
Professional businessman
SM&CR
👥

SM&CR People Management

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

  • SMF & certification tracking
  • Statements of Responsibilities
  • Fit & proper assessments
  • Conduct rule training
24 Certified Staff
3 SMF Holders
Conduct Rules
FCA Rules
📢

Financial Promotions

Complete control over your financial promotions. Structured workflows ensure every communication is fair, clear, and not misleading & contains the right information before it reaches customers.

  • Multi-stage approval workflows
  • Fair, clear, not misleading checks
  • Channel-specific compliance rules
  • Full audit trail & version control
47 Approved This Month
FINANCIAL PROMOTION WEB EMAIL APPROVED
Compliance Checks
Fair
Clear
Not Misleading
3 Pending Review
Channels Covered
Consumer Outcomes

Treating Customers Fairly

Measure TCF culture and outcomes. Management information and demonstrating fair treatment.

6 TCF
Outcomes
Embedded
FCA Handbook
📊

Conduct of Business (COBS)

Investment conduct rules compliance. Client categorisation, suitability assessments, best execution, and product governance workflows.

  • Client categorisation workflows
  • Suitability & appropriateness assessments
  • Best execution tracking
  • Product governance & distribution
Suitable
CLIENT ASSESSMENT CLIENT CATEGORY RETAIL PROFESSIONAL SUITABILITY SCORE 82% RISK PROFILE LOW MED HIGH GOVERNANCE ✓ TARGET MARKET MATCHED
Clients Assessed
1,247
Best Exec Verified
Consumer Duty
🤝

Vulnerable Customers

Demonstrate genuine care for vulnerable customers. Structured identification frameworks and support measures.

  • Vulnerability identification
  • Support measures tracking
  • Staff training records
FCA Handbook
⚙️

Systems & Controls

Build governance frameworks that satisfy SYSC requirements. Senior management arrangements, risk management systems, and internal controls all in one place.

  • Senior management arrangements
  • Risk management frameworks
  • Internal control systems
  • Compliance monitoring
All Systems Operational
GOVERN RISK CONTROL AUDIT COMPLY MONITOR
47
Active Controls All Passing
Framework
Low Risk
Consumer Duty

Fair Value Assessments

Consumer Duty fair value frameworks. Price benchmarking, cost analysis, and ongoing value reviews.

Fair Value
94% Value Score
VALUE COST
ICOBS
🏠

Insurance (ICOBS)

Insurance distribution compliance made simple. Track and evidence compliance against the the entire ICOBS handbook in one place.

  • Demands & needs analysis
  • Product disclosure workflows
  • Claims handling standards
  • Renewals & mid-term changes
Compliant
INSURANCE POLICY COVERAGE STATUS 90% COMPLETE POLICY TYPE GENERAL RENEWAL 45 DAYS
98%
Claims Handled Within SLA
Needs Analysis
IPID Sent
CONC

Consumer Credit

Monitor compliance against FCA consumer credit rules.

Compliant
4/4
Areas Covered
Responsible Lending Compliant
Affordability Rules Compliant
Arrears Management Compliant
Forbearance Compliant
Featured
💳

Payment Services

Track and demonstrate compliance against itemised PSRs, 2017 regulations - so you can be confident if the regulator comes calling

  • PSD2 regulatory compliance
  • Strong Customer Authentication
  • Transaction monitoring
  • Third-party provider oversight
Compliant
PAYER PROCESS PAYEE SCA
PSD2
Regulation
1.2k
Transactions All Compliant
Auth Status
2FA
SCA
FPCOBS

Funeral Plans

FCA-regulated funeral plan compliance. Track and demonstrate compliance against trust arrangement rules, sales standards, and prudential requirements toname but a few.

Trust Protected
FUNERAL PLAN TRUST PROTECTED CHECKLIST FCA REGULATED 12 PLANS
Featured
💰

Client Money & Assets

Comprehensive CASS compliance for safeguarding client money and assets. Track segregation, reconciliation, and regulatory reporting.

  • Client money segregation
  • Daily reconciliation tracking
  • CMAR reporting
  • Acknowledgement letters
Segregated
CLIENT MONEY FIRM MONEY SEGREGATED
CASS 5
FCA Rules
Reconciled
Last: Today 09:00
£125k Client Funds
Bribery Act 2010

Anti-Bribery & Corruption

Track and measure against ABC six principles compliance. Risk assessments, due diligence, and proportionate procedures + more.

£ ZERO TOLERANCE 6 PRINCIPLES ✓ COMPLIANT RISK LOW DUE DILIGENCE 24 CHECKS DONE
DISP Audit

Complaints Audit

Systematic rule-by-rule compliance assessment against FCA DISP requirements.

95%
Audit Score Excellent
DISP COMPLIANCE Complaint Handling COMPLIANT Time Limits & Response COMPLIANT Records & Reporting COMPLIANT
0 Gaps
12 Controls
FCA Flagship
⭐

Consumer Duty

Demonstrate compliance with the FCA's flagship regulation. Embed the cross-cutting rules and four outcomes into your business with structured workflows and comprehensive evidence.

Cross-Cutting Rules
Act in good faith Avoid foreseeable harm Enable financial objectives
  • Products & Services outcome
  • Price & Value assessments
  • Consumer Understanding
  • Consumer Support
Duty Met
CONSUMER PRODUCTS & SERVICES £ PRICE & VALUE CONSUMER UNDERSTANDING CONSUMER SUPPORT CROSS-CUTTING RULES EMBEDDED
4
Outcomes Tracked
Board Ready Evidence Pack
DISP Rules
📝

Complaints Management

Turn complaint handling into a smooth, defensible process. Track response times, root causes, and spot patterns before the FCA does.

  • Complaint logging & categorisation
  • Investigation workflows & timelines
  • Automated MI & root cause analysis
  • FOS reporting readiness
RESOLVED 98% ON TIME ! FCA
Project Tracker

FCA Authorisation

Simplify and project manage your FCA authorisation application. Track requirements and milestones to approval.

In Progress
APPLICATION
67%
Complete
3/5
Milestones
UK GDPR
🔒

GDPR Compliance

Take the headache out of data protection. Track and demonstrate compliance in lawful basis rules, data subject rights, breach management, DPIAs + much more.

  • Lawful basis documentation
  • Data subject rights workflows (SARs, erasure, portability)
  • Breach identification & ICO reporting
  • DPIA assessment frameworks
ISO 27001

Information Security

Protect sensitive information with policies, access controls, and incident management.

USER DEVICE DATA CLOUD POLICY CONTROLS 14 ✓ ACTIVE SECURE
Data Handling

Confidentiality

Classification protocols, NDAs, and information handling procedures.

CONFIDENTIAL NDA Signature Date LEVELS SECRET INTERNAL PUBLIC 8 NDAs ACTIVE ✓ ALL SIGNED
MLR 2017
🔍

Anti-Money Laundering

Stop worrying about AML compliance. Complete framework covering every MLR requirement with comprehensive audit trails.

  • Customer Due Diligence (CDD & EDD) workflows
  • PEPs & sanctions screening
  • Transaction monitoring & suspicious activity reporting
  • MLR training & competence tracking
156 CDD Cleared
CLIENT SCREENING LOW RISK - CLEARED 1 2
Screening Complete
PEPs Check
Sanctions
Adverse Media
2 SARs Filed YTD
Risk Profile
Transaction Monitoring Active
+ Many more modules Including Cyber Security, Fraud, Suitability, Consent, Threshold Conditions, Outsourcing, Regulatory Reporting
Testimonials

Trusted by Compliance Professionals

See what our clients say about RegTechPRO

★★★★★

"RegTechPRO has transformed how we manage compliance. What used to take days now takes hours. The platform is intuitive and the support team is exceptional."

JM

James Mitchell

Compliance Director, Investment Firm

★★★★★

"As a compliance consultant managing multiple clients, RegTechPRO is indispensable. Each client has their own workflow and the audit trail gives everyone peace of mind."

SH

Sarah Hughes

Independent Compliance Consultant

★★★★★

"The built-in guidance in each module means our team always knows exactly what's required. It's like having a compliance expert on hand 24/7."

RP

Richard Palmer

Operations Manager, Insurance Broker

FAQs

Common Questions

Absolutely. Your data is protected by bank-level security standards including AES-256 encryption, TLS 1.3 secure connections, and SOC 2 compliance. All data is hosted in the UK on infrastructure that meets GDPR, PCI DSS, and ISO 27001 standards. We're also registered with the Information Commissioner's Office (ICO).

No technical expertise required. Each module includes detailed guidance explaining exactly what needs to be done and why, so you always understand the regulatory context. Simply work through the checklists — if you can genuinely mark something as 'Yes', you're compliant.

We cover three core areas: FCA Compliance — including investments, credit, insurance, payments, e-money, crowdfunding, corporate finance, mortgage brokers, banking, motor dealers, vets, and funeral plans. Financial Crime — AML, anti-bribery, and sanctions. Data Protection — GDPR, information security, cyber, PECR, and PCI DSS. With 70+ modules, we've got your regulatory obligations covered.

Yes — we're here to help. Book a free consultation to discuss your requirements, or email us directly at info@regtechpro.co.uk. Our team is happy to understand your specific needs and recommend the best solution for your firm.

Book a Consultation

Schedule a personalised consultation with our compliance experts to discuss your specific requirements and discover how RegTechPRO can transform your regulatory workflow.

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Compliance documentation
Free Download

FREE 56-Page Consumer Duty Policy Template (Worth £150)

Get our professionally drafted template — ready to customise for your firm and demonstrate FCA compliance.

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Free Template
Join 250+ like-minded others simplifying FCA compliance
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