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

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

Open Breaches

✓

Resolution Progress

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

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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

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

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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

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

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

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

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

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

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

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.

DISP Audit

Complaints Audit

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

95%

Audit Score Excellent

0 Gaps

12 Controls

FCA Flagship

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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

Outcomes Tracked

Board Ready Evidence Pack

DISP Rules

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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

Project Tracker

FCA Authorisation

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

In Progress

67%

Complete

3/5

Milestones

UK GDPR

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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.

Data Handling

Confidentiality

Classification protocols, NDAs, and information handling procedures.

MLR 2017

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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

Screening Complete

PEPs Check

Sanctions

Adverse Media

2 SARs Filed YTD

Risk Profile

Transaction Monitoring Active

+ Many more modules Including Fraud, Suitability, Consent, and more

Included Modules

Additional Modules

All Additional Modules

MLRO Reporting

Breach Management

SM&CR People Management

Financial Promotions

Conduct of Business (COBS)

Systems & Controls

Insurance (ICOBS)

Payment Services

Client Money & Assets

Consumer Duty

Complaints Management

Anti-Money Laundering

Lighten the Load of FCA Compliance.

Sectors

Navigation

Legal

Choose Your Plan

Essentials

What's Included

Included Modules

PRO

Everything in Essentials, plus:

Additional Modules

PRO360

Everything in PRO, plus:

All Additional Modules

40+ Compliance Modules, One Powerful Platform

Your Compliance Companion

Modules:

MLRO Reporting

Risk Register

Breach Management

SM&CR People Management

Financial Promotions

Treating Customers Fairly

Conduct of Business (COBS)

Vulnerable Customers

Systems & Controls

Fair Value Assessments

Insurance (ICOBS)

Consumer Credit

Payment Services

Funeral Plans

Client Money & Assets

Anti-Bribery & Corruption

Complaints Audit

Consumer Duty

Complaints Management

FCA Authorisation

GDPR Compliance

Information Security

Confidentiality

Anti-Money Laundering

Book a Demo

Ready to Transform Your Compliance?

Lighten the Load of FCA Compliance.

Sectors

Navigation

Legal

40+ Compliance Modules,
One Powerful Platform