The FCA is watching principal firms closer than ever. RegTechPRO gives you the visibility, control, and audit trail you need to demonstrate effective oversight of every appointed representative.
The FCA has made AR oversight a priority. Recent enforcement actions have put principal firms under the spotlight like never before.
After high-profile enforcement actions, the regulator has made it clear: principals are responsible for their ARs' conduct. The stakes have never been higher.
Are they following your compliance procedures? Are their records up to date? Without proper oversight tools, you're flying blind.
Chasing documents, tracking expiry dates, maintaining evidence files. Each AR multiplies the administrative burden exponentially.
Annual attestations, AR registers, ongoing oversight documentation. The regulatory burden of being a principal keeps growing.
You're on the hook for their mistakes. If an AR causes customer harm, it's your FRN at risk. The liability keeps you awake at night.
You started with Excel, but now it's a mess of files, versions, and manual processes. Every new AR makes the problem worse.
RegTechPRO was designed from the ground up to give principal firms complete control over their AR network.
Each AR gets their own isolated workspace. When they log in, they only see the tasks and modules assigned to them — nothing else.
ARs submit policies, tasks, and documents through the portal. You review and approve before anything goes live. Full control, complete audit trail.
Bird's-eye view of your entire AR network. Compliance status, due diligence progress, and risk indicators for every AR at a glance.
Principal users see everything across the network. AR users only see the work assigned to them. Same platform, completely different views.
Choose which compliance modules and tasks each AR needs to complete
Clean, focused view with only their assigned tasks and documents
Track completion rates, review submissions, and maintain oversight
Policy, procedure, or task completion
Check content, verify quality
Full audit trail maintained
ARs can submit documents, complete tasks, and update records — but you have final sign-off. Every submission goes through your review queue before it's marked complete.
Every module designed with network management in mind. Assign, monitor, and report across your entire AR network.
AR records, 24-point DD checklists, principal oversight dashboard
SM&CR management for AR individuals and certified persons
Network-wide compliance metrics with AR-level drill-down
AR agreements, policies, and templates with version control
AR oversight reviews with 55+ monitoring areas
AR-level risk registers and heat maps
Regulatory updates relevant to your AR activities
70+ modules assignable to ARs with task management
RegTechPRO helps you meet every aspect of the FCA's requirements for principal firms. From initial due diligence to ongoing oversight, we've got you covered.
Join principal firms across the UK who trust RegTechPRO for AR oversight. Start your free trial today and see the difference proper network management makes.
Start Your Free TrialPRO360 plan recommended for full AR management features • Cancel anytime
