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RegTechPRO Brochure - FCA Compliance Platform
ENTERPRISE SOFTWARE · SME PRICING

Compliance, mastered.
Stress, eliminated.

Enterprise quality. SME pricing. RegTechPRO helps you meet every compliance obligation and prove it with ease.

Trusted by 250+ UK-regulated firms · Modular compliance software, designed by experts to make your life easier.

FCA HMRC MLR 2017 GDPR JMLSG ICO PECR POCA + More
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A
Anna AI
FCA Compliance Partner
“Here are your 3 immediate actions before the FCA supervisory visit…”
SYSC 6.1.1R · MLR Reg 21
Compliance Health
94%
✓
Annual Board Report
29 pages · Ready
Data Protection Review
JM
✓
25+ Years Expertise
Bank-Grade Encryption
SOC 2 Infrastructure
ISO 27001 Infrastructure
UK Based & Hosted
ICO Registered
The Problem

Compliance Shouldn't Feel Like This

Sound familiar? You're not alone. Most regulated firms struggle with these exact challenges.

Drowning in Spreadsheets

Evidence scattered across 47 spreadsheets, three shared drives, and one senior person's head. The day the regulator asks, you'll spend a week looking.

Risk_v7_FINAL.xlsx
AML_Q3_UPDATED.xlsx
Board_DRAFT_v3.xlsx

Consultant Bills Piling Up

£70,000+ per year for someone who shows up quarterly, hands you a RAG report, and leaves you to execute the work anyway.

Q1 Retainer £17,500
Q2 Retainer £17,500
Q3 Retainer £17,500

Regulator Audit Anxiety

The 3am question: if the supervisor walked in tomorrow, what would they find that you've missed?

03:47 AM
Still awake.

Stretched Too Thin

One Head of Compliance doing the work of three. The board wants more controls. You can't hire. Something always gives — usually the monitoring plan.

17 overdue
23 due this week
8 in progress

If any of these feel uncomfortably familiar, you're exactly who we built this for.

The Compliance Edge

In a Regulated Industry, the Firms That Do Compliance Best, Win

Every regulated firm must comply — it's not optional. But the firms that treat compliance as a strategic advantage rather than a burden are the ones that grow faster, win more clients, and sleep better at night.

Meet your obligations

Peace of mind that your obligations are fully met — backed by senior compliance expertise built into every template, module and assessment. Bring on that regulator visit.

25+ years expertise · in every module

Reduce Regulatory Risk

Firms with robust, evidenced compliance frameworks are far less likely to face enforcement action — and if it comes, they're prepared, not panicked.

Always audit-ready · no 3am scrambles

Reclaim Your Time

Stop losing hours to manual compliance admin. AI drafts reports, policies and board packs in minutes — giving your team time to focus on growing the business, not chasing paperwork.

Minutes, not weeks · for reports & board packs
The Solution

15 modules. One platform. Every compliance obligation covered.

Each module is a standalone operating system — all connected through Anna AI and live MI across the platform.

Compliance Monitoring Hub dashboard — live RAG status across every module

1,139 monitoring checks across 8 regulators, live RAG status and drill-through to the underlying evidence — with Anna's 12-section Annual Compliance Monitoring Report drafted from the same live data.

Compliance registers across the platform

Every register the regulator expects to see — RoPA, breaches, complaints, gifts, third-parties, training — pre-built, year-locked and linked to named owners with Drive-attached evidence.

Fit and Proper assessment in the People Compliance module

1,139 expert-built monitoring checks across 8 regulators, plus 76 forms covering every FCA obligation — assessments, attestations, registers, evidence — and a drag-and-drop custom form builder.

Drag-and-drop Custom Form Builder

Build any form your firm needs in minutes. Drag-and-drop fields, conditional logic, named owners and evidence attachments — no code, no consultants, no waiting list.

Task management across the platform

Every compliance task scheduled, assigned and evidenced. Calendar, Kanban or list views, recurring review cycles, deadline reminders and named-owner accountability — nothing slips.

Two-year regulatory calendar

A two-year regulatory horizon at a glance. FCA reporting deadlines, MLR reviews, Consumer Duty checkpoints and your firm's own compliance cycles — all in one shared calendar.

Anna AI report library

Board packs, MLRO annuals, Consumer Duty reviews, BCPs and FCA dry-runs — Anna drafts every regulator-grade report from your live data, cited to the source rule.

Anna AI compliance assistant

Anna, your in-platform compliance assistant. Source-cited answers from 13 regulators, drafted letters and notices, instant gap analyses — grounded in 25+ years of FCA expertise.

Built-in expert guidance on every screen

Built-in regulatory guidance on every screen. Hover any field to see the source rule, the rationale and the regulator's latest expectations — written by senior compliance experts.

Dark mode across the platform

Long compliance days, gentler on the eyes. A full dark mode across every module, every register, every report — with the same WCAG-compliant contrast and audit accuracy.

On a budget? Get this one. Compliance Monitoring Hub
Compliance Monitoring Hub
All Firm Types
Manage your complete compliance portfolio with 1,139 expert-built templates across multiple regulators, including FCA, ICO & HMRC. Can't find a template for your regime? Create your own with our built-in drag-and-drop Custom Form Builder.
View Module
FCA priority area. Consumer Duty Dashboard
Consumer Duty
FCA Only
Meet and demonstrate compliance with the FCA's Consumer Duty regime. Includes 238 attestations so you can prove your compliance at the drop of a hat. What's more, Anna AI automatically creates your FCA-ready Consumer Duty Board Report from your live data.
View Module
Annual Fit & Proper schedule People Compliance
People Compliance
FCA Only
Meet and demonstrate compliance against the FCA's SM&CR and APER regimes. Includes FCA-aligned Fit & Proper Forms, Statement of Responsibilities, Downloadable certificates, CPD & Due Diligence tracking.
View Module
Make the regulator happy Policy Studio
Policy Studio
All Firm Types
Bring your policies to life with Anna AI operationalisation. Anna scans your document, schedules tasks and holds you accountable — exactly what the regulator demands. Includes 70+ expert-drafted templates and five different Anna AI tools to help you refine and master your compliance policies.
View Module
FCA priority area. Operational Resilience & BCP
Operational Resilience
All Firm Types
For FCA and non-FCA firms alike (Business Continuity), strengthen your firm by meeting and demonstrating compliance with the FCA's Operational Resilience regime (SYSC 15A). Includes Important Business Service mapping, Impact Tolerances and Live Incident Mode with the FCA's 4-hour countdown built in. What's more, Anna AI drafts five different report formats from your live data — including your full BCP and an FCA Dry-Run mock interview.
View Module
Protect your firm Risk Management
Risk Management
All Firm Types
Take control of every risk in your firm with a 5×5 Risk Register, three-score appetite and a force-directed Risk Network that flags concentration risk before it bites. Worried about Critical Third Parties (SYSC 8)? The Third-Party Register tracks every supplier dependency. What's more, Anna AI drafts your 15-section Risk Committee Report from your live data — board-ready in minutes, not weeks.
View Module
Save £££ on consultant fees Application Tracker
Application Tracker
FCA Only
Track every FCA application from submission to authorisation. Includes a 4-stage lifecycle, 41-item document checklist and deadline alerts so nothing slips through the net. Not sure which RAO Articles apply? Anna AI drafts your 8-section Application Requirements Report — mapped to the right Articles, from your live data.
View Module
FCA priority area. Financial Crime Suite
Financial Crime Suite
All Firm Types
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.
View Module
Make the regulator happy Data Protection
Data Protection
All Firm Types
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.
View Module
Horizon Scanning
Horizon Scanning
All Firm Types
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.
View Module
Document Library
Document Library
All Firm Types
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.
View Module
Firm & AR Management
Firm & AR Management
FCA Only
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.
View Module
Media Hub
Media Hub
All Firm Types
A curated library of 40 regulator-aligned resources across 8 sections. FCA walkthroughs, monthly compliance updates, press releases and source documents in one place.
View Module
MI Dashboard
MI Dashboard
All Firm Types
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.
View Module
Kiosk Mode
All Firm Types
Attestations without logins. Public, token-authenticated forms for staff declarations, AR surveys and outside-firm data capture — feeding straight into your register.
View Module
Book a Consultation

All modules available — From £500/month

Regulatory Coverage

Every sourcebook. Every framework. Every regulation.

RegTechPRO isn't just an FCA tool — it's a corporate compliance OS. From FCA sourcebooks to UK statutes, data & cyber to cross-regulator obligations, every framework your firm is on the hook for — built in, evidenced, kept current.

PRIN UK GDPR FPCOBS FIT FSMA APER MLR 2017 COBS ICOBS POCA MIFIDPRU PERG SYSC CONC UKBA CASS ESG JMLSG DISP ECCTA CMCOB GENPRU NIS2 TC DORA BCOBS PROD SYSC 15A COCON DEPP COND MCOBS PRIN 2A INSPRU SUP SDR
50+
Frameworks
13
Regulators
1,139
Pre-Built Checks
See every regulation we cover
Build your own

Any regime. Any sector. Any jurisdiction.

Don't see your regime? Build it. The drag-and-drop form builder lets you author your own templates, registers, assessments and attestations — turning RegTechPRO into your compliance OS for any regulator, sector or jurisdiction.

Examples include:

US SEC & FINRA Singapore MAS EU MiCA Food safety Building regulations Medical devices Travel & aviation Internal frameworks
See the form builder in action
SEC Form ADV — Annual Update
Build Preview Publish
⋮⋮
Aa
Firm legal name
Short text · required
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Fiscal year-end
Date · required
⋮⋮
Custody arrangement
Dropdown · 4 options
⋮⋮
Compliance manual
File upload · PDF
+ Add field
Meet Anna

The AI compliance partner built by compliance experts.

Trained on senior compliance expertise and 1,500+ expert documents. Working across every module of RegTechPRO. You do the compliance work — Anna produces the regulator-ready output.

Anna, RegTechPRO's AI Compliance Assistant
Hi, I'm Anna!
EXPERT COMPLIANCE ASSISTANT

The bridge between your compliance data and regulator-ready output.

Unlike generic AI, Anna is grounded in 1,500+ expert documents, regulator handbooks, and senior compliance experience across the strictest regimes. She reads the structured data you capture in the platform — risk assessments, CDD tables, IBS mapping, MI, training records — and produces the documents the regulator expects to see.

  • Reads your live compliance data across every module
  • Board-ready reports drafted in minutes, not weeks
  • Policies reviewed, drafted & operationalised
  • AI drafts, humans decide — nothing auto-submitted
Grounded in your data

An AI that actually knows your firm

Generic AI can quote the FCA handbook. Anna does that too — but that's not the moat. Anna reads your live compliance data across every register, task, risk and MI chart. Ask her where to focus this week, which risks are heating up, or how to balance your team's workload — and she answers from your firm, not a generic prompt.

  • Reads your live data across every module
  • Workload & priority advisor
  • Risk trends & early warnings
  • FCA handbook grounded too
A
Anna AI
Online · AI Compliance Advisor
Where should I focus this week?

Three priorities from your live compliance data:

  • 3 overdue CMP reviews in Financial Crime — closing these brings Q3 back to green
  • Consumer Duty RCA: 2 vulnerability cases pending ahead of the 25th board review
  • 5 SM&CR F&P attestations due within 12 days

Sam is overloaded this sprint — suggest reassigning the SM&CR work to Priya.

Drawn from: CMP · Consumer Duty · People Compliance
Ask Anna about your firm…
→

Anna replaces a £1,500-a-day consultant. From £500/month.

She drafts policies, writes PRIN 2A board reports, generates 5 different SYSC 15A report formats (incl. an FCA Dry-Run mock supervisory interview), and runs full MLRO workflows — all from your live data. See it happen in 20 minutes.

Book a live demo See everything Anna produces
Who We Serve

Built for Every Firm Type

Whether you're directly authorised, an appointed representative, a principal firm with a network, or a consultant — we've got you covered.

Directly Authorised Firms

Directly Authorised Firms

Structure, tools, and expert-built templates to stay on top of your FCA obligations — without hiring a full-time compliance team.

Find Out More
Appointed Representatives

Appointed Representatives

Prove compliance to your principal with 1-click evidence sharing, AI-drafted Consumer Duty documentation, and a complete audit trail.

Find Out More
Principal Firms with ARs

Principal Firms with ARs

Complete oversight of your AR network with segregated workflows, approval chains, and a single AI-powered compliance dashboard.

Find Out More
Compliance Consultants

Compliance Consultants

Elevate your client delivery with a professional portal, multi-client management, and AI-assisted compliance workflows built by industry experts.

Find Out More
Firms Seeking Authorisation

Firms Seeking Authorisation

Prepare your FCA application with confidence — pre-built policy templates, application tracking, and AI-powered guidance.

Find Out More
Non-FCA Firms

Non-FCA Firms

AML, GDPR, and risk management compliance for accountants, law firms, estate agents, and other non-FCA regulated businesses — powered by AI, built by experts.

Find Out More
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 Compliance Monitoring Hub 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 Anna's board summary cited to the FCA Handbook. Our team asks Anna 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

Frequently Asked Questions

Everything you need to know about RegTechPRO

Can I try it before I commit?
Yes! We offer a 7-day free trial with full access to all features. You can explore the platform, set up your compliance framework, and see exactly how it works before making any commitment. Payment is not charged until the 8th day and you can cancel at any point before then via the 'My Account' section — no questions asked.
How long does it take to get set up?
Unlike other platforms that require lengthy implementation projects, you can be up and running with RegTechPRO in as little as five minutes. Book a demo, and if you'd like to proceed we'll send you a link to create your account. Simply log in, complete your first compliance form, and you can be confident that item is covered — provided all fields are answered appropriately, of course. No complex onboarding, no waiting around.
There are so many features — what if my firm doesn't need all of them?
That's completely fine — and by design. Compliance is always proportionate to risk, and RegTechPRO works the same way. A two-person firm can use just the modules it needs without feeling overwhelmed, and you certainly don't need to hire a full compliance department to manage the platform. But if your firm is larger and the regulatory risk is higher, every tool is there to help you satisfy all FCA requirements. Use what you need, when you need it — the platform scales with you.
Will my team need training to use RegTechPRO?
No formal training required. RegTechPRO is designed for compliance professionals, not IT experts — if your team can use a web browser, they can use the platform. Every module includes in-context guidance notes, regulatory reference tags on every field, and Anna AI answers any question with FCA-cited responses. We also include video tutorials and live onboarding support.
Can I use RegTechPRO if we're still seeking FCA authorisation?
Yes — the FCA Application Tracker module is designed precisely for this. Anna generates your application blueprint with fees, business plan structure and a document checklist covering 41 required items. And you can start building your full compliance framework — policies, monitoring plan, risk register — before you apply, so you're ready to evidence the controls the FCA expects.
What compliance areas do you cover?
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 1,139 monitoring checks across 79 categories spanning 8 regulators (FCA, ICO, HMRC, HSE, TPR, Companies House, Home Office and EU DORA), we have everything a UK-regulated firm needs.
How does RegTechPRO use AI, and is it safe for regulated use?
AI is built into every module — Anna AI answers regulatory questions with FCA-referenced citations, Policy Studio drafts and refines policies from expert templates, the Compliance Monitoring Hub generates board-ready summaries and a 12-section Annual Compliance Monitoring Report, and Horizon Scanning AI-curates regulatory updates filtered to your firm type. Every AI output is grounded in our expert-built content library and source-cited, so your team stays in control. Nothing is auto-submitted to the regulator — AI drafts, humans decide.
Is the platform kept up to date with regulatory changes?
Continuously. As soon as new legislation or regulatory guidance is announced, our team updates the platform and notifies affected users of any changes to forms, templates, or modules that impact their firm. On top of that, we release new content monthly — including new modules, enhanced capabilities, and additional templates — so your subscription always delivers ongoing value.
How is RegTechPRO different from using spreadsheets or a compliance consultant?
Spreadsheets are fragmented, difficult to maintain, and offer no centralised management information or reporting — meaning gaps go unnoticed until the FCA comes knocking. RegTechPRO replaces that chaos with a single, structured platform. As for consultants, RegTechPRO does much of what they do: it tells you the rules you need to follow and helps you identify gaps in your business. The difference is that you're the one identifying those gaps with expert-built guidance — rather than paying a third party £1,500 a day to tell you the same thing.
Can I import my existing compliance data?
Most firms choose to start fresh — drawing a line in the sand and handling all future compliance through RegTechPRO, given how extensive the feature set is compared to anything they've used before. That said, adding historical data is straightforward. For larger volumes that need importing, our team is happy to assist with backend uploads and mapping your existing records into the new structure.
How much does RegTechPRO cost?
Subscriptions start from £500/month, built around your firm’s chosen modules, number of users, and Anna AI usage.
What are your contract terms?
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.
I'm a compliance consultant — can I manage multiple clients?
Yes! RegTechPRO is specifically perfect for compliance consultants managing multiple client firms. You get a central dashboard to oversee all your clients, with separate workspaces for each client — and you can give your clients ring-fenced access to their information and audits too.
Is my data secure?
Yes. Your data is hosted on Google Cloud Platform (London), delivered via Cloudflare, and stored in JotForm (EU) and Google Workspace (EU) — all SOC 2 and ISO 27001 certified infrastructure providers. Encrypted in transit and at rest. RegTechPRO is ICO registered and GDPR compliant. See the full subprocessor list with data transfer safeguards at regtechpro.co.uk/subprocessors.
Do I need technical knowledge to use RegTechPRO?
Not at all. RegTechPRO is designed by compliance professionals for compliance professionals, and complete novices. 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.
What support do you offer?
Every subscriber gets email support with 24-hour response times, live chat access, and phone support when needed — there are no tiered support plans, because there are no tiers. We also provide an extensive knowledge base, video tutorials, and regular webinars to help you get the most from the platform.

See RegTechPRO in your firm.

Trusted by 250+ UK-regulated firms. 13 regulators, every obligation, one modular platform — unlimited users, monthly releases, from £500/month.

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RegTechPRO - Modular Compliance Software
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Enterprise-grade FCA compliance made accessible. Built by compliance professionals for UK-regulated firms.

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