RegTechPRO - FCA Compliance Software

The Compliance Edge

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

Every FCA-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

Get peace of mind knowing your obligations are fully met — backed by 25+ years of FCA expertise built into every template, module and assessment. Demonstrate compliance with a few clicks. Bring on that FCA visit.

Reduce Regulatory Risk

FCA fines are up 337%. Firms with robust, evidenced compliance frameworks are far less likely to face enforcement action — and far better prepared if they do.

Reclaim Your Time

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

Meet Anna

The AI compliance partner built by compliance experts.

Trained on 25+ years of FCA expertise and 150+ specialist documents. Working across every module of RegTechPRO. You do the compliance work — Anna produces the regulator-ready output.

16 specialist skills

Across 7 modules

Always on

Source-cited

EXPERT COMPLIANCE ASSISTANT

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

Unlike generic AI, Anna is grounded in 150+ expert-authored RegTechPRO documents, FCA handbooks, and 25+ years of real FCA compliance experience. 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.

Source-cited answers from the FCA handbook
Board-ready reports generated from live data
Policies drafted, reviewed & operationalised
AI drafts, humans decide — nothing auto-submitted

What Anna produces for you

Board-ready documents that normally cost thousands, generated from your data in minutes

Policy Studio

Four AI skills that turn policy paper into operational reality

Built on a library of 150+ expert-authored documents. Anna doesn't just draft policies — she reviews their structure, fills the gaps a regulator would spot, rewrites from prompts, and turns every finalised commitment into tracked tasks that bring the policy to life.

Structural review
Content gap fill
Full authorship
Operationalise to tasks

Consumer Duty Hub

A 13-section PRIN 2A board report, ready for the FCA

Capture your 3LOD scoring, product reviews, complaints, vulnerability spotlight, gap register, RCA and 12 months of MI inside the Consumer Duty Hub. Anna reads it all and produces the board report the FCA expects — fully PRIN 2A-aligned, with Urgent Board Action callouts where they're needed.

All 4 outcomes
3LOD scoring
Vulnerability & RCA
13 sections, board-ready

Operational Resilience

A full SYSC 15A Business Continuity Plan, drawn from your data

Capture your Important Business Services, impact tolerances, threat register, stress tests and SYSC 15A.6 self-assessment. Anna reads the 17 required sections and produces a complete, board-ready BCP with governance structures, named CMT roles and recovery plans — consulting-grade output in minutes.

IBS & impact tolerances
Threat register
Stress testing
Full BCP output

Financial Crime Suite

An entire MLRO workflow, not just a report generator

Eight financial crime areas — AML, CDD/EDD, Transaction Monitoring, Sanctions, SAR/STOR, ABC, Fraud, Market Abuse, Tax Evasion — with full BWRA under MLR 2017 Reg 18, 10-policy governance library, CFA 2017 reasonable prevention, PEP source-of-wealth tracking and training matrix. Anna then produces five regulator-ready reports from the data.

MLRO Annual (JMLSG)
REP-CRIM return
Board Quarterly Pack
Exec Summary & Hybrid

Anna is everywhere in RegTechPRO

Three more ways Anna works alongside your team

Site-wide Anna chat

Ask Anna any compliance question from any screen. Source-cited answers from the FCA handbook. Proactive advice on workload pressure and where your firm is coming up short on key risks.

MI Dashboard exec summary

Anna reads your full compliance dataset and writes a board-ready executive summary with FCA rule citations, module performance breakdown and prioritised remediation actions.

FCA Application blueprints

Tell Anna the permissions you're applying for. She generates your application blueprint — fee, business plan structure, document checklist and submission guidance drawn from the FCA handbook.

Anna replaces a £1,500-a-day consultant. For £6,000 a year.

Book a 20-minute demo and watch Anna turn live compliance data into a board-ready report in front of you.

Book a live demo

Built For You

Complete coverage for every regulated activity

From investments and insurance to payments and crypto — RegTechPRO covers the full spectrum of FCA-regulated activities.

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 — backed by AI-drafted suitability reports and expert-built FUND, MIFIDPRU and COBS templates.

COBS, FUND, MIFIDPRU & MiFID II Compliance
Suitability Reports & Custom Form Builder to create your own
SM&CR Statement of Responsibilities & annual Fit and Proper Declarations

Insurance Firms

Navigate ICOBS and insurance-specific FCA requirements with dedicated modules. Product governance, fair value assessments, and distribution compliance — with AI-generated board reports and expert-built assessment templates that save weeks of manual work.

ICOBS compliance modules
Product governance tracking
Fair value assessments

Payments & E-money

Navigate PSRs 2017 and EMRs with dedicated modules. Safeguarding, operational resilience, and consumer protection covered — with AI-powered monitoring and expert-built templates tailored to payments firms.

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 — AI-curated horizon scanning flags regulatory changes the moment they happen, backed by expert-built AML frameworks.

Crypto AML Compliance
Financial Promotions
Registration Maintenance

Credit Firms

Consumer credit compliance made simple. CONC requirements, creditworthiness assessments, and arrears management — with AI-drafted policies and expert-built templates proven across UK consumer credit firms.

CONC Compliance
Creditworthiness Assessments
Arrears & Forbearance

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 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 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 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 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 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 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.

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 80+ subjects, 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 MI Dashboard generates board-ready summaries, 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 £1,000 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 £6,000/year, built around your firm’s chosen modules, number of users, and Anna AI usage. Use the pricing calculator at regtechpro.co.uk/pricing to build your instant estimate.

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?

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.

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?

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.

FCA Compliance. Powered by AI.Built by Experts.

250+ Firms

13 Modules

AI-Powered

Compliance Shouldn't Feel Like This

Drowning in Spreadsheets

Consultant Bills Piling Up

FCA Audit Anxiety

Stretched Too Thin

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

Meet your obligations

Reduce Regulatory Risk

Reclaim Your Time

13 modules. One platform. Every FCA obligation covered.

The AI compliance partner built by compliance experts.

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

Board-ready documents that normally cost thousands, generated from your data in minutes

Four AI skills that turn policy paper into operational reality

A 13-section PRIN 2A board report, ready for the FCA

A full SYSC 15A Business Continuity Plan, drawn from your data

An entire MLRO workflow, not just a report generator

Three more ways Anna works alongside your team

Site-wide Anna chat

MI Dashboard exec summary

FCA Application blueprints

Anna replaces a £1,500-a-day consultant. For £6,000 a year.

Complete coverage for every regulated activity

Investment Firms

Insurance Firms

Payments & E-money

Cryptocurrency Firms

Credit Firms

Built for Every Firm Type

Directly Authorised Firms

Appointed Representatives

Principal Firms with ARs

Compliance Consultants

Firms Seeking Authorisation

Non-FCA Firms

Trusted by Compliance Teams Across the UK

Frequently Asked Questions

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FCA Compliance. Powered by AI.
Built by Experts.