Consumer Duty has raised the bar. RegTechPRO gives you the compliance framework to prove you're meeting it — and share that evidence with your Principal at the click of a button.
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Full outcome compliance
Everything documented
Principals face increasing FCA scrutiny on AR oversight. Without proper evidence, both you and your Principal are exposed.
Principals need to demonstrate they're overseeing your outcomes. Spreadsheets don't cut it anymore — you need structured evidence.
Every quarter brings another request for policies, T&C records, and complaints data. Manual compilation is exhausting.
When your Principal calls for evidence, you shouldn't be digging through emails and filing cabinets to find what they need.
The FCA found significant oversight failures in their AR review. Principals are now under pressure to prove control over their network.
Missing policies, unsigned attestations, incomplete training records — gaps that could end your AR relationship with your Principal.
Principals are passing on compliance costs. Without efficient systems, your AR fees keep climbing every year.
A complete compliance framework designed specifically for ARs — ready to share at the click of a button.
Track every attestation, declaration, and sign-off. Export to PDF or share direct access with your Principal — all with timestamps and audit trails.
Document outcomes for all four Consumer Duty outcomes with structured assessments ready for Principal review.
Track staff competency, CPD hours, and supervision records — all exportable for Principal review at the click of a button.
Whether you're an insurance distributor, mortgage broker, or investment adviser — RegTechPRO has modules tailored to your regulated activities.
IDD compliance, product governance, demands & needs documentation.
COBS suitability, appropriateness, investment advice records.
MCOB compliance, affordability, advice & sales standards.
PSR compliance, safeguarding, transaction monitoring requirements.
Transaction records, conflicts management, deal documentation.
Lead generation compliance, fair treatment, referral tracking.
Each module is mapped to its FCA sourcebook, pre-loaded with expert templates and wired into Otto for live MI, deterministic scoring, and board-ready reports. Click any module to see the full feature page.
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 — Otto pulls it all into the 29-page board report.
Policies with teeth — drafted by Otto, reviewed by your team, approved under version lock. 74 regulator-anchored templates across 10 categories, operationalised into live tasks.
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 Otto's 12-section Annual Compliance Monitoring Report drafted from your live data.
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 Otto AI Risk Committee Report drafted from your live data.
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.
One live feed across 13 UK regulators, filtered to your firm by AI. Assess what matters in a change register, track tasks and deadlines, and export Otto board reports — plus a curated FCA insights and reference library.
FCA applications, tracked end-to-end. A 4-stage lifecycle, 41-item document checklist, and an 8-section Otto Application Requirements Report mapped to the RAO Articles.
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 Otto's 5-format report engine (Full BCP, FCA Dry-Run mock interview, Board Quarterly, Exec Summary, SYSC 15A Snapshot).
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 Otto-drafted regulator-grade reports including the 14-section JMLSG Annual and a 12-question FCA Supervisory Readiness dry-run.
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 Otto-drafted regulator-grade reports including the 14-section DPO Annual, drafted from your own data, not templates.
Google Docs for compliance. Every editable document is a live Google Doc, auto-centralised from across the platform with source-module provenance and full revision history. No customer Workspace subscription required.
Replace last-minute scrambles with structured, shareable evidence your Principal can access any time.
Hear from the firms that have transformed their compliance with RegTechPRO
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.
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. Otto AI is genuinely useful too, our team asks it regulatory questions before they come to me.
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.
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.
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.
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.
What an AR firm wants to know about evidencing compliance to its Principal.