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.
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Structured AR oversight
Full compliance audit trail
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.
Bird's-eye view of your entire AR network. Compliance status, DD progress, and risk indicators for every AR at a glance.
Each module is mapped to its FCA sourcebook, pre-loaded with expert templates and wired into Anna for live MI, deterministic scoring, and per-AR board-ready reports. Click any module to see the full feature page.
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.
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.
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.
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.
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.
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.
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.
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.
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.
A curated library of 40 regulator-aligned resources across 8 sections. FCA walkthroughs, monthly compliance updates, press releases and source documents in one place.
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).
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.
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.
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.
Attestations without logins. Public, token-authenticated forms for staff declarations, AR surveys and outside-firm data capture — feeding straight into your register.
Replace manual AR oversight with a structured platform that scales with your network.
Hear from the firms that have transformed their compliance with RegTechPRO
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.
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.
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.
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.
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.
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.
What a Principal firm running an AR network wants to know about platform-grade SUP 12 oversight.