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Directly Authorised Firms — FCA Compliance Without the Overwhelm | RegTechPRO
FOR DIRECTLY AUTHORISED FIRMS

FCA Compliance Without the Overwhelm.

You didn't start your business to spend every day buried in compliance paperwork. RegTechPRO gives you the structure, tools, and templates to stay on top of your FCA obligations.

Book a Consultation

All-in-One

Every FCA obligation covered

1,000+ Templates

Pre-built compliance checks

Quick Start

Live in minutes, not months

Annual SM&CR Cycle
1,000+ FCA-Expert Templates
Anna Board Report
13-Regulator Live Feed
Auto-Centralised Evidence
Build and Operationalise Policies
THE CHALLENGE

The Reality of Running a Small Regulated Firm

You're not alone. These are the challenges we hear from directly authorised firms every day.

Drowning in Paperwork

Policies scattered across folders, outdated templates, and no clear system to track what needs updating. Every audit feels like starting from scratch.

Regulatory Anxiety

Constant worry about what you might be missing. New FCA rules, Consumer Duty updates, AML requirements — it's overwhelming keeping track of it all.

Consultant Costs

c. £10,000 a month for external compliance support — sometimes more — and still uncertain whether you're actually covered. The bills keep coming.

Missed Deadlines

REG-DATA submissions, annual reviews, training renewals — without a proper system, something always slips through the cracks.

SM&CR Confusion

Statements of Responsibilities, Fit & Proper assessments, certification regime — you know you need to do it, but the requirements feel impossibly complex.

No Audit Trail

When the FCA comes calling, can you prove what you've done? Evidence scattered everywhere, version control non-existent, records incomplete.

WHY REGTECHPRO

Replace the consultant retainer.

Most DA firms pay c. £10,000 a month for a compliance consultancy retainer — policy drafting, monitoring plan reviews, board pack production, ad-hoc advice and the annual SM&CR cycle. RegTechPRO ships the same work product as live software, with the SMF accountability staying inside your firm.

The Old Way
External Consultants
c. £10,000/month
  • Policies scattered across folders and email
  • Constant worry about what you're missing
  • Deadlines slip through the cracks
  • No audit trail when the FCA calls
  • SM&CR requirements feel impossibly complex
RECOMMENDED
The RegTechPRO Way
RegTechPRO
From £500/month
  • 15 modules covering every FCA programme
  • 1,000+ FCA-expert-drafted attestation, policy and task templates
  • Intelligent task management with reminders
  • Anna AI for instant regulatory answers 24/7
  • Complete audit trail for FCA inspections
The Stack Way
5+ Separate RegTech Platforms
5–10× more
  • 5+ separate logins, 5+ contracts to renew
  • Each platform covers a slice — gaps fall between
  • Manual data reconciliation between systems
  • Per-seat pricing scales with headcount
  • No unified MI Dashboard or Anna board pack
Your FCA Toolkit

Fifteen modules. One platform. Zero spreadsheets.

Each module is mapped to its FCA sourcebook, 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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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.

James Hartley
James Hartley 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.

Li Zhang
Li Zhang 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

Directly Authorised firms. Questions Answered.

What an in-house compliance officer at a DA firm wants to know before subscribing.

What does the platform include for a Directly Authorised firm?
The full FCA toolkit: Compliance Monitoring Plan with 13-regulator scope, Consumer Duty (4 outcomes + cross-cutting rules), Risk Management, Financial Crime, People Compliance with SM&CR, Policy Studio, Document Library and the MI Dashboard with Anna’s 2,000-word board report. Anna AI runs across every module. Horizon Scanning and Media Hub included as the regulatory-intelligence layer. Everything an in-house compliance officer needs to evidence FCA programme governance, in one platform.
How does this replace a c. £10,000-a-month consultant?
Most DA firms pay a consultancy retainer for policy drafting, monitoring plan reviews, board pack production, ad-hoc advice and annual SM&CR cycles. Policy Studio drafts a 30-page FCA-grade policy with verbatim citations and operationalises it as page-referenced tasks. The Compliance Monitoring Plan ships activities by regulator. The MI Dashboard’s Anna writes the 2,000-word board report from your live data with FCA citations on every failure. The work product the consultancy delivered manually now takes a click — you keep the SMF accountability inside the firm.
Can I bring my own existing policies?
Yes. Policy Studio’s Upload Your Own button takes any Word or PDF policy you already have. Once it lands in the platform, it gets the same Anna review, Operationalise stage, approval workflow and Policy Register PDF as a vendor template. Your existing policies become first-class citizens — no rewrite needed.
What does the FCA see when they ask for evidence?
The Document Library auto-centralises every file attached anywhere on the platform — Risk evidence, CMP completion notes, People Compliance DD packs, Policy Studio outputs — source-tagged and version-historied. Soft-delete by architecture means nothing is ever destroyed; the audit trail is structurally complete. The MI Dashboard exports a 2,000-word Anna-drafted board pack with FCA citations on every failure (COBS 11.8, DISP 1.9, SYSC 7.1.1R) plus a 5-tier action plan.
How long does implementation take?
For a single DA firm, you’re live in minutes. Set up your Firm Compliance record (FCA FRN, permitted activities with RAO Articles, the 10-document DD checklist), link your users via the Users tab and you have full platform access provisioned. From then it’s a question of populating Risk Register, scheduling CMP activities and drafting your first policies. Weeks rather than the months a consultancy implementation takes.
What support do I get?
Concierge 24-hour user provisioning, a compliance-professional-built platform (not a generic SaaS tool) and a 25-year FCA expertise corpus that grounds Anna’s outputs. The platform updates monthly — nine new resources every month in Media Hub, the FCA Calendar maintained, regulatory intelligence flowing in via Horizon Scanning’s 13-regulator feed.

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

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RegTechPRO - Modular Compliance Software
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