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.
Trusted by 250+ UK-regulated firms
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.
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.
70+ modules assignable to ARs with task management.
Replace manual AR oversight with a structured platform that scales with your network.
Join principal firms across the UK who trust RegTechPRO for AR oversight. PRO360 plan recommended for full AR management features.
Trusted by 250+ UK-regulated firms • Plans from £200/month
