The Solution

Everything You Need. One Platform.

Enterprise-grade compliance made accessible. Built by compliance professionals—to make your life easier.

Compliance Hub

Your Compliance Command Centre

Intelligent task orchestration with automated reminders, approval workflows, and real-time progress tracking. View your compliance work in Table, Calendar, Kanban, or List views — your way, always.

Table View

Kanban View

Table View

Calendar View

Kanban View

Custom Forms

100+ Form Templates

Exportable Reports

Available in All Packs

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Anna AI

Your AI Compliance Expert

Anna AI is your on-demand compliance expert, available 24/7 to answer questions, draft documents, analyse regulations, and guide you through complex compliance scenarios. Trained on FCA regulations and your firm's specific policies.

Ask Anna

AI Document Writer

24/7 Availability

FCA Trained

Executive Summaries

Comprehensive Reports

Document Generation

Daily Updates

Available in All Packs

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Comprehensive Coverage

80+ Compliance Templates

From FCA permissions to financial crime, from data protection to consumer duty—RegTechPRO covers the full spectrum of UK regulatory requirements. Every module includes pre-built templates, workflows, and expert guidance.

Module Library

Module Details

Financial Promotions

Complaints

GDPR

Anti-Money Laundering

Consumer Duty

Product Assessment

Systems & Controls

Treating Customers Fairly (TCF)

Vulnerable Customers

CONC

ICOBS

COBS

+ many more

Available on all plans

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People Compliance

People Compliance Made Simple

Comprehensive people compliance across SM&CR, APER, IDD and non-regulated staff. Manage SMF holders, certified persons, fitness & propriety assessments, conduct rules training, and staff due diligence—all with automated reminders and full audit trails.

SM&CR Directory

Training Tracker

SM&CR

APER

IDD

Unregulated staff

Statement of Responsibilities

Responsibility Mapping

Due Diligence

Fit & Proper

CPD

Certificates of Competence

Available on PRO plans and above

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Compliance Monitoring

Compliance Monitoring Plan

Build and execute your compliance monitoring programme with structured testing, evidence collection, and automated scheduling. Track findings, remediation actions, and demonstrate ongoing compliance to the FCA.

Monitoring Plan

Test Results

Monitoring Universe

100+ Template Reviews

Findings Log

Trend Analysis

Auto-scheduling

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Policy Studio

Professional Document Creation

More than just policies—Policy Studio comes with 100+ templates for policies, manuals, forms, and everything in between. Collaborate with Anna AI and your team to create world-class documentation, then use Anna AI to generate actionable tasks that bring your policies to life. Import your existing policies as your starting point, or start fresh with our expert-built templates.

Document Editor

Enhance with Anna AI

100+ Templates

Full AI integration

Version Control

Approval Workflows

Anna AI performance score

Policy Operationalisation

Auto Task Generation

Export and Save to Library

Collaborative Feedback

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Firm Compliance

Firm & AR Management

Manage your firm's regulatory permissions, appointed representatives, and group compliance. Create isolated workflows for each AR, track permissions, and maintain oversight across your entire regulatory footprint.

AR Overview

Permissions Manager

AR & Firm Management

Permission Tracking

Due Diligence

Create isolated workflows

Group Oversight

User Management

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Risk Management

Intelligent Risk Assessment

Comprehensive risk management with heat maps, control frameworks, and automated scoring. Define your post-control risk appetite, measure actual risks against it, and identify emerging threats before they become issues.

Risk Register

Heat Map

Risk Register

Heat Maps

Risk Appetite

Control Framework

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Horizon Scanning

Stay Ahead of Change

Automated regulatory change monitoring from over 200 sources. Impact assessments, implementation tracking, and proactive alerts keep you ahead of regulatory developments that affect your firm.

Regulatory Feed

Impact Analysis

200+ Sources

Save for later

Alerts by Regulated Activity

Deadline Tracking

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Document Library

Centralised Document Hub

Your single source of truth for all compliance documentation. Version control, approval workflows, and intelligent search ensure everyone has access to the right documents at the right time.

Document Browser

Version History

Version Control

Approval Workflows

Smart Search

Access Controls

70+ Document Templates

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MI Dashboard

Compliance Intelligence

Real-time compliance dashboards with AI-generated executive summaries from Anna AI—perfect for quick board report snapshots. Take action straight from the dashboard with drilldown analysis, exportable reports, and beautiful visualizations that tell your compliance story.

Executive Dashboard

Report Generator

Real-time Metrics

AI Summaries

Board Reports

Drilldown Analysis

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Application Tracker

FCA Application Management

Track your FCA applications from submission to approval. Get key insights and support via specialised FCA application reports from Anna AI for each application—understand what's needed and why. Document checklists, status tracking, and deadline management for authorisations, variations, and more.

Application Pipeline

Document Checklist

50+ Regulated Activities

All FSMA 2000 (RAO) Permissions

Requirements Report

Anna AI assessment

Document Management

SMF records

Application Fees

Submission Tracking

Timeline alerts

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Built For You

Compliance Solutions for Every Firm Type

Whether you're a solo AR or a principal firm with a network, we've got you covered.

Investment Firms

Comprehensive COBS compliance for wealth managers, discretionary fund managers, and investment advisers. From suitability assessments to best execution, manage your MiFID II obligations with confidence.

COBS & MiFID II Compliance
Suitability & Best Execution Reviews
MIFIDPRU Capital Adequacy

Compliance Consultants

Scale your consultancy with RegTechPRO's multi-client management. Share logins with clients for full transparency and deliver premium compliance services at scale.

Multi-client dashboard
Scalable compliance delivery
Client login sharing

Insurance Firms

Navigate ICOBS and insurance-specific FCA requirements with dedicated modules. Product governance, fair value assessments, and distribution compliance.

ICOBS compliance modules
Product governance tracking
Fair value assessments

AR Networks

Oversight and compliance management across your entire AR network. Monitor principal responsibilities and maintain FCA reporting requirements centrally.

Network-wide dashboard
AR onboarding workflows
Principal oversight reporting

Payments & E-money

Navigate PSRs 2017 and EMRs with dedicated modules. Safeguarding, operational resilience, and consumer protection covered.

PSRs 2017 Compliance
Safeguarding Reviews
Operational Resilience

Cryptocurrency Firms

FCA-registered cryptoasset businesses need robust AML controls. Stay ahead of evolving crypto regulations with purpose-built modules.

Crypto AML Compliance
Financial Promotions
Registration Maintenance

Credit Firms

Consumer credit compliance made simple. CONC requirements, creditworthiness assessments, and arrears management.

CONC Compliance
Creditworthiness Assessments
Arrears & Forbearance

FAQs

Frequently Asked Questions

Everything you need to know about RegTechPRO

Yes! We offer a 7-day free trial with full access to all features. No credit card required. You can explore the platform, set up your compliance framework, and see exactly how it works before making any commitment.

Absolutely. We use bank-grade encryption (AES-256), host on secure UK data centres, and are fully GDPR compliant. Your data is backed up daily and we conduct regular security audits. We're SOC 2 Type II compliant and registered with the ICO.

All subscriptions have a minimum 12-month term. After the initial period, you can cancel with one month's written notice. You'll retain access until the end of your notice period and can export all your data before cancellation takes effect.

Not at all. RegTechPRO is designed by compliance professionals for compliance professionals. If you can use a web browser and send emails, you can use our platform. We also provide comprehensive onboarding, video tutorials, and live support to help you get started.

All plans include email support with 24-hour response times. Pro and Enterprise plans include priority support with live chat and phone access. We also have an extensive knowledge base, video tutorials, and regular webinars to help you get the most from the platform.

We cover all major FCA regulatory requirements including Consumer Duty, AML/CFT, SM&CR, GDPR/Data Protection, Complaints Handling, Business Continuity, Operational Resilience, Financial Crime, and more. With 80+ subjects, we have everything a UK-regulated firm needs.

Yes! Our Consultant tier is specifically designed for compliance consultants managing multiple client firms. You get a central dashboard to oversee all your clients, with separate workspaces for each firm. Pricing is based on the number of firms you manage.

Your Compliance Command Centre

Your AI Compliance Expert

80+ Compliance Templates

People Compliance Made Simple

Compliance Monitoring Plan

Professional Document Creation

Firm & AR Management

Intelligent Risk Assessment

Stay Ahead of Change

Centralised Document Hub

Compliance Intelligence

FCA Application Management

Lighten the Load of FCA Compliance.

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The FCA Compliance Platform You Wish You Had Sooner

Compliance Shouldn't Feel Like This

Drowning in Spreadsheets

Consultant Bills Piling Up

FCA Audit Anxiety

Missed Deadlines

Stretched Too Thin

Outdated Policies

Everything You Need. One Platform.

Your Compliance Command Centre

Your AI Compliance Expert

80+ Compliance Templates

People Compliance Made Simple

Compliance Monitoring Plan

Professional Document Creation

Firm & AR Management

Intelligent Risk Assessment

Stay Ahead of Change

Centralised Document Hub

Compliance Intelligence

FCA Application Management

Watch How RegTechPRO Works

Platform Walkthrough

Is Your Firm Inspection Ready?

Replace £15,000+ in Consultant Fees

Compliance Solutions for Every Firm Type

Investment Firms

Compliance Consultants

Insurance Firms

AR Networks

Payments & E-money

Cryptocurrency Firms

Credit Firms

Frequently Asked Questions

Have Questions? We're Here to Help

Email Us

Send a Message

Book a Call

Ready to Transform Your Compliance?

Lighten the Load of FCA Compliance.

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