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 ConsultationEvery FCA obligation covered
Pre-built compliance checks
Live in minutes, not months
You're not alone. These are the challenges we hear from directly authorised firms every day.
Policies scattered across folders, outdated templates, and no clear system to track what needs updating. Every audit feels like starting from scratch.
Constant worry about what you might be missing. New FCA rules, Consumer Duty updates, AML requirements — it's overwhelming keeping track of it all.
c. £10,000 a month for external compliance support — sometimes more — and still uncertain whether you're actually covered. The bills keep coming.
REG-DATA submissions, annual reviews, training renewals — without a proper system, something always slips through the cracks.
Statements of Responsibilities, Fit & Proper assessments, certification regime — you know you need to do it, but the requirements feel impossibly complex.
When the FCA comes calling, can you prove what you've done? Evidence scattered everywhere, version control non-existent, records incomplete.
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.
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.
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 in-house compliance officer at a DA firm wants to know before subscribing.