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Non-FCA Firms — AML, GDPR & Risk Compliance | RegTechPRO
UNIVERSAL COMPLIANCE

Compliance Isn't Just for Banks.

AML, GDPR, risk management — if you're in business, you have compliance obligations. RegTechPRO gives you the framework to prove it.

Book a Consultation

AML & GDPR

Beyond FCA regulation

Risk Framework

Universal risk management

Evidence Trail

Prove compliance to anyone

ICO Data Protection
AML & PEP Checks
Risk Register
Companies House / HMRC Feed
Board-Ready MI Reports
Document Version Control
THE CHALLENGE

Sound Familiar?

Compliance obligations don't disappear just because you're not FCA-regulated.

We Don't Have Any Policies

HMRC, ICO, or a client audit is coming — and you've got nothing documented. Panic mode activated.

We'll Get Around to It

AML training? Risk assessments? Data audits? Always on the to-do list. Never actually done.

Is This Even Our Problem?

You know there are rules. You're just not sure which ones apply to your business — or how to comply.

It's All in Spreadsheets

Risk registers, training logs, client due diligence — scattered across drives and inboxes. No audit trail.

One Person Knows Everything

Your compliance knowledge lives in one person's head. When they leave or get sick, you're exposed.

Clients Are Asking Questions

Enterprise clients want to see your compliance framework before they'll work with you. Can you show them?

THREE PILLARS

Your Complete Compliance Framework

Whether it's AML, GDPR, or risk management — RegTechPRO has you covered.

FINANCIAL CRIME

AML & Financial Crime

Build and evidence your anti-money laundering framework. Customer risk assessments, SAR reporting, sanctions screening — everything HMRC expects.

  • Customer risk assessments (CRA)
  • Firm-wide AML risk assessment
  • SAR logging & sanctions screening
DATA PROTECTION

GDPR Compliance

Data protection policies, ROPA, DPIA, breach registers — demonstrate compliance to the ICO with structured evidence.

  • Privacy policies & ROPA
  • DPIA & breach management
  • Staff training tracking
RISK & GOVERNANCE

Risk Management

Centralised risk registers with likelihood/impact scoring, control assessments, and board-ready reporting.

  • Risk registers with scoring
  • Control assessments
  • Board-ready reporting
24
Risks Tracked
With likelihood & impact scoring
94%
GDPR Complete
Data protection framework
127
Tasks Managed
With automated reminders
WHO IT'S FOR

Built for Businesses Like Yours

You don't need FCA authorisation to need proper compliance. If any of these apply, RegTechPRO is for you.

AML

Accountants & Tax Advisers

HMRC-supervised for AML. Need risk assessments, client due diligence, and training records.

SRA

Law Firms & Solicitors

SRA-regulated with AML obligations. CDD, source of funds checks, and risk-based approach.

PROPERTY

Estate Agents

HMRC-supervised for AML under MLR 2017. Customer due diligence is mandatory.

GDPR

Tech & SaaS Companies

GDPR compliance, data processing agreements, and security frameworks for enterprise sales.

LETTINGS

Letting Agents

Right to rent checks, client money handling, and AML for high-value transactions.

RECRUITMENT

Recruitment Agencies

Right to work verification, GDPR compliance, and contractor due diligence frameworks.

Your Compliance Toolkit

Fifteen modules. One platform. FCA modules dormant if you don’t need them.

Each module is mapped to its regulator (ICO, HMRC, Companies House, NCSC, TPR and the rest), pre-loaded with expert templates and wired into Anna for live MI, deterministic scoring, and board-ready reports. Click any module to see the full feature page.

Consumer Duty Dashboard

Consumer Duty

A PRIN 2A.9 board report drafted from your own data. 238 attestations with a named per-question audit trail, evidence linked to Google Drive, year-on-year diff and adverse outcome tracking — Anna pulls it all into the 29-page board report.

Named Audit TrailDrive-Linked EvidenceYear-on-Year DiffAdverse OutcomesAnna-Drafted
View feature page
Policy Studio

Policy Studio

Policies with teeth — drafted by Anna, reviewed by your team, approved under version lock. 74 regulator-anchored templates across 10 categories, operationalised into live tasks.

74 Policy LibraryGoogle DocsApproval WorkflowVersion Lock
View feature page
Compliance Monitoring Hub — dashboard, attestations, registers, CMP templates, calendar and Anna's Annual Compliance Monitoring Report

Compliance Monitoring Hub

The platform's flagship module. 1,139 expert-built monitoring checks across 8 regulators (FCA, ICO, HMRC, HSE, TPR, Companies House, Home Office, EU DORA). Live MI dashboard, dual-mode calendar, attestations, registers — and Anna's 12-section Annual Compliance Monitoring Report drafted from your live data.

1,139 Monitoring Checks8 RegulatorsAnna Annual ReportLive MI Dashboard
View feature page
Risk Management

Risk Management

Enterprise GRC at SME pricing. 5×5 three-score register, third-party register (SYSC 8 / CTP regime), force-directed risk network with concentration alerts, RCSA campaigns with signed audit snapshots, field-level audit trail — and a 15-section Anna AI Risk Committee Report drafted from your live data.

Risk NetworkThird Party RegisterRCSA CampaignsAudit Trail15-Section Anna Report
View feature page
Firm Compliance

Firm & AR Management

Principal networks, handled. Firm, AR and user group records under a single SUP 12 framework, with a 9-tab AR oversight surface, onboarding, and termination workflows.

AR PortalsNetwork OversightOnboardingTerminations
View feature page
People Compliance

People Compliance

SM&CR, fitness and training in one register. 222 fields per person covering SMF mapping, APER/IDD certification, a 55-question F&P test and CPD tracking.

SMF RegisterCertificationF&P TestsTraining Records
View feature page
Horizon Scanning

Horizon Scanning

FCA changes, before your peers see them. Daily scanning across 13 UK regulators and 1,953 live articles, with impact assessments and direct push into your task register.

Daily ScanningImpact AssessmentsAction Items13 Regulators
View feature page
Application Tracker

Application Tracker

FCA applications, tracked end-to-end. A 4-stage lifecycle, 41-item document checklist, and an 8-section Anna Application Requirements Report mapped to the RAO Articles.

Status TimelineDocument VaultDeadline AlertsOutcome Log
View feature page
MI Dashboard

MI Dashboard

The firm-wide view every other module feeds. Aggregates live data from all modules — tasks, attestations, risk posture, monitoring outcomes, breaches, training — into one Board-ready dashboard with a single combined Anna AI Executive Report covering the whole compliance picture.

Cross-Module Anna ReportFirm-Wide MI40+ Data SourcesBoard-Ready View
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Media Hub

Media Hub

A curated library of 40 regulator-aligned resources across 8 sections. FCA walkthroughs, monthly compliance updates, press releases and source documents in one place.

FCA VideosRegulatory LibraryMonthly UpdatesPress Releases
View feature page
Operational Resilience & BCP

Operational Resilience

Important business services, mapped. 84-point Resilience Health score, 20-step Immediate Response, Live Incident Mode with FCA 4-hour countdown, tabletop exercise programme, and Anna's 5-format report engine (Full BCP, FCA Dry-Run mock interview, Board Quarterly, Exec Summary, SYSC 15A Snapshot).

IBS RegisterImpact TolerancesLive Incident Mode5 AI ReportsSYSC 15A Mapped
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Financial Crime Suite — MLRO dashboard with year-locked records, named-attestor audit trail, MLRO Calendar and six Anna-drafted reports

Financial Crime Suite

The complete MLRO operating system. 25 live registers, 30 FCA-minimum controls, 132-question Gap Analysis, year-on-year locked records, named-attestor audit trail, central Evidence register, 13-cycle MLRO operating calendar — and six Anna-drafted regulator-grade reports including the 14-section JMLSG Annual and a 12-question FCA Supervisory Readiness dry-run.

FCA Supervisory ReadinessYear-Locked RecordsNamed-Attestor AuditMLRO Operating Calendar
View feature page
Data Protection — DPO dashboard with 10 pillars, 30-control ICO Accountability checklist, Anna-drafted 14-section DPO Annual Report

Data Protection

UK GDPR, DPA 2018 and PECR end-to-end. 11 tabs, 13 live registers (ROPA, DSR, breach, DPIA, transfers…), 30 ICO Accountability controls, 15 policy templates — and five Anna-drafted regulator-grade reports including the 14-section DPO Annual, drafted from your own data, not templates.

14-Section DPO AnnualUK GDPR · DPA 2018 · PECR72-hr Breach Workflow15 Policy Templates
View feature page
Document Library — live Google Docs editing with revision history and source-module provenance

Document Library

Google Docs for compliance. Every editable document is a live Google Doc, auto-centralised from 15 modules with source-module provenance and full revision history. No customer Workspace subscription required.

Google Docs16-Module IngestRevision HistoryZero Workspace Seats
View feature page

Kiosk Mode

Attestations without logins. Public, token-authenticated forms for staff declarations, AR surveys and outside-firm data capture — feeding straight into your register.

Staff DeclarationsAR SurveysNo Login RequiredToken-Authenticated
View feature page
WHY REGTECHPRO

Doing Nothing vs RegTechPRO

The cost of non-compliance is far greater than the cost of getting it right.

The Risk
Doing Nothing
Unlimited liability
  • No policies when HMRC or ICO comes calling
  • Compliance knowledge in one person's head
  • Enterprise clients walk away
  • Fines for AML or GDPR breaches
  • Reputational damage that can't be undone
RECOMMENDED
The RegTechPRO Way
RegTechPRO
From £500/month
  • AML, GDPR & risk frameworks ready to go
  • Policy templates auto-assigned to your business
  • Task management with automated reminders
  • Evidence ready for HMRC, ICO, or client audits
  • From £500/month
The Stack Way
5+ Separate RegTech Platforms
5–10× more
  • 5+ separate logins for ICO, AML, risk, MI
  • Each platform built for a different regulator
  • Manual reconciliation across data silos
  • Per-seat pricing inflates as headcount grows
  • No unified Board MI — rebuilt manually every cycle
What Our Clients Say

Trusted by Compliance Teams Across the UK

Hear from the firms that have transformed their compliance with RegTechPRO

5.0

We replaced three separate spreadsheets and a shared inbox with RegTechPRO. Our monitoring plan is now fully structured, nothing falls through the cracks, and I can pull a board report in under a minute. It paid for itself within the first quarter.

Michael Reynolds
Michael Reynolds Head of Compliance — Wealth Management Firm
4.7

The MI Dashboard changed how I talk to the board. I used to spend days pulling data together — now I walk in with a real-time compliance health score and a clear action log. Anna AI is genuinely useful too, our team asks it regulatory questions before they come to me.

Siti Wijaya
Siti Wijaya CEO — Insurance Broker
5.0

CONC compliance was our biggest headache. RegTechPRO gave us pre-built templates for every requirement and a monitoring plan that actually gets used. Policy Studio saved us weeks — we had all our policies drafted, approved and tracked within the first month.

David Mitchell
David Mitchell Compliance Director — Consumer Credit Firm
4.5

We oversee 30+ ARs and before RegTechPRO it was chaos — chasing updates by email, no visibility on who was overdue. Now every AR has their own login, I can see compliance status across the network instantly, and onboarding a new AR takes days instead of weeks.

Rachel Kinsella
Rachel Kinsella Network Principal — AR Network
4.8

As a compliance consultancy, we needed something our clients could actually use themselves. RegTechPRO lets us manage 40+ firms from one dashboard while giving each client their own portal. We've tripled our client base without adding headcount. It's the backbone of our business now.

Michael Thornton
Michael Thornton Managing Director — Compliance Consultancy
5.0

We're a small IFA firm — just four advisers. I was worried it would be too complex but it's genuinely straightforward. The compliance assessment templates walk you through everything step by step. We went from dreading our annual review to having it done in an afternoon.

Mark Emery
Mark Emery Practice Manager — Independent Financial Advisers
FAQs

Non-FCA UK firms. Questions Answered.

What a non-FCA UK firm wants to know about ICO, AML, GDPR and procurement-grade compliance evidence.

Why use RegTechPRO if I’m not FCA-regulated?
Every UK firm has regulators. ICO for data protection. HMRC for tax and PAYE. Companies House for filings. NCSC for cyber. The Pensions Regulator. AML obligations under MLR 2017 apply to many non-FCA firms (estate agents, accountants, lawyers, gambling operators). RegTechPRO ships the 8 primary Acts of Parliament (FSMA, MLR, DPA, PSR, POCA, TA, ECTE 2022) plus the regulator feeds in Horizon Scanning’s 13-regulator scope — non-FCA firms see ICO, HMRC, Companies House, NCSC, TPR, OFSI, FRC and the rest as their core surface.
How does it cover ICO / GDPR / Data Protection?
The Data Protection module is built on the UK GDPR + DPA 2018 framework. 15 Policy Studio templates cover the full GDPR suite — Privacy Notice, Cookie Policy, Subject Access Request Manual, Data Retention, International Transfer, Cyber Security Risk Policy, CCTV, Information Security and the rest. Every policy is operationalised by Anna with page-referenced tasks. The CMP includes ICO-aligned monitoring activities. ICO-registered firms get a defensible audit trail by design.
What about AML / PEP / Sanctions?
The Financial Crime Suite covers AML, ABC, Anti-Fraud, Market Abuse, Sanctions, Tax Evasion, SAR Manual, CDD/EDD and Gifts & Entertainment. The Risk Register tracks financial-crime exposure with a three-score appetite framework (inherent · residual · appetite). Anna draws on POCA 2002, MLR 2017, the Terrorism Act 2000 and the Economic Crime (Transparency & Enforcement) Act 2022 — the legal spine non-FCA AML-regulated firms answer to.
How does the platform handle B2B clients asking for compliance evidence?
SOC 2 and ISO 27001 certified infrastructure, ICO-registered, UK-hosted, multi-tenant data isolation by architecture. Document Library exports a 6-column inventory CSV. Policy Studio’s FCA-ready Policy Register PDF doubles as a B2B procurement evidence pack — it answers the three questions every enterprise procurement asks: do you have policies, are they approved, and what tasks have been created to discharge the commitments. One PDF, signed by your SMF or compliance lead.
Do I get the full platform without FCA modules I don’t need?
Yes. Modules are activated based on what your firm needs. ICO data protection, AML/PEP, risk register, Document Library, Media Hub regulatory reference shelf — all included in the base. Application Tracker, Consumer Duty and SUP 12 / AR oversight aren’t relevant for a non-FCA firm and stay dormant. You pay for what you use; the architecture stays the same.
What about Companies House / HMRC notifications?
Horizon Scanning includes Companies House, HMRC, ICO, NCSC, OFSI, Pensions Regulator, FRC and HM Treasury alongside the FCA and PRA. Each source is independently toggleable; non-FCA firms typically toggle FCA off and rely on the rest. The Upcoming Deadlines register surfaces dated obligations across every source you’ve turned on — quarter tags, countdown timers, board-pack-ready.

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Trusted by 250+ UK-regulated firms · Starting from £500/month

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