Run your whole compliance programme — monitoring, SM&CR, evidence — without a compliance department or a c. £10,000-a-month retainer.
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Your monitoring plan starts complete
Every task owned, dated, evidenced
Otto drafts from your live data
The obligations are the same as a firm ten times your size — the difference is you carry them without a compliance department.
Policies scattered across folders, outdated templates and no clear system for what needs updating. Every review starts from scratch.
SYSC 6.1 puts a named person on the hook for compliance oversight — and in a small firm, that person is you. New rules, Consumer Duty, AML: the worry is what you might be missing.
c. £10,000 a month for external compliance support — sometimes more — and still no certainty you’re actually covered. The bills keep coming.
RegData submissions, annual reviews, training renewals — without one calendar that holds them all, something always slips.
Statements of Responsibilities, Fit & Proper assessments, the certification regime — you know it has to be done, but the requirements feel impossibly complex.
When the FCA asks, can you prove what you’ve done? Evidence scattered everywhere, version control non-existent, records incomplete.
The flagship module: a complete compliance monitoring plan, live registers, attestations and a regulatory calendar — so a directly authorised firm can run a programme the FCA takes seriously, without a compliance department behind it.
Monitoring templates across 74 categories spanning 8 regulators — your programme starts complete, not blank.
Your own monitoring cycles alongside 27 published FCA events — consultation deadlines, implementation dates, review periods.
Complaints, breaches, gifts & entertainment, conflicts and financial promotions in one evidence trail — filter, search, export.
Every task with a named owner and a due date, drag-dropped between time buckets — the whole programme at a glance.
The compliance officer’s 30-second morning view. Live KPI tiles for open, closed and overdue tasks, completion and approval rates, an overall Health Score, RAG summary and monthly trends — every tile a one-click drill-down to the records underneath.
1,139 expert-built monitoring checks across 74 regulation-anchored categories spanning 8 regulators — the FCA backbone plus financial crime, data protection and the non-FCA statutory obligations a DA firm carries. Each template ships with a regulatory reference chain, a plain-English objective and commentary that pre-populate as in-form guidance.
Four synchronised views — Day, Week, Month, Year — aggregating tasks from every source, with drag-drop rescheduling. A second Regulatory Calendar mode tracks 27 published FCA events — consultation deadlines, implementation dates and review periods — alongside your own cycles, so you plan around what the regulator is publishing, not after it.
Every event your firm has to record, in one tracker. Complaints, Breaches, Gifts & Entertainment, Conflicts and Financial Promotions — status chips, named owners, due dates and the same maker-checker approval workflow throughout.
Every formal declaration, completed and signed off in-platform. Attestation forms for CASS, MIFIDPRU, Consumer Duty, SM&CR and GDPR — the FCA Principles individually ticked, a maker-checker approval workflow and an attached evidence trail. A form can’t be submitted until every obligation is signed off.
When the board asks “are we compliant?”, Otto answers with a report — drafted from your own registers and monitoring records, not a template with the blanks left in.
The Annual Compliance Monitoring Report, drafted section by section from your live data — coverage, execution, findings, remediation.
An in-platform assistant that answers from your own registers and records — not a generic handbook summary.
Edit every section in place, then export a board-ready document — minutes, not the week it used to take.
Nothing is auto-submitted. Every output lands as a draft for you to review, edit and approve.
Otto’s headline deliverable: a 12-section Annual Compliance Monitoring Report drafted from your live data — coverage, execution, attestations, registers, findings and remediation — generated section by section, edited in place, exported.
One report builder, many reports. Board packs, MLRO annuals, Consumer Duty reviews and FCA dry-runs — each drafted from your live records with a format picker and depth control, and cited to the source rule.
Ask Otto anything. She reads your live data — open findings by severity, overdue items, what needs attention today — and answers in seconds, every reply backed by a table of the exact records behind it.
SM&CR is where directly authorised firms feel most exposed. Statements of Responsibilities, fitness & propriety, certification and CPD — structured, assigned and evidenced per person.
Every Senior Manager and certified person on one register — role type, status and outstanding actions tracked per person.
Mapped to the FCA template, with all 31 Prescribed Responsibilities assignable, shareable and recorded for the audit trail.
The 55-question FCA Form A Section 5 assessment (FIT 1.3), with a RAG declaration summary and exportable certificate.
CPD hours tracked per person against the FCA’s 35-hour benchmark, with a full activity log — course, type, hours, date.
Your whole regulated population on one screen. KPI tiles for Total People, Senior Managers, Certified Persons, F&P Outstanding and DD Outstanding, over a full People Records register — click any row to open the record.
Every SMF record runs six tabs deep — Details, Statement of Responsibilities, Fit & Proper, Due Diligence, CPD and access control. The SoR maps to the FCA template: Prescribed Responsibilities (firm-type banded), Overall Responsibility and Other Responsibilities, each one assignable and recorded for the SM&CR audit trail.
The full FCA Form A Section 5 Fit & Proper assessment, live: a five-node wizard across Criminal · Civil · Business · Regulatory · Other matters, with a RAG Declaration Summary and a one-click Export F&P Certificate.
Otto is the platform’s built-in compliance advisor, grounded in 150+ expert-authored documents. She reads your firm’s live records — not a generic handbook summary — and drafts the reports the regulator expects to see.
The 12-section Annual Compliance Monitoring Report — coverage, execution, attestations, registers, findings and remediation — drafted from live data.
Every draft is built from your live records — so the numbers in the report are the numbers in the platform, on the day the board reads it.
Question your own programme — open findings by severity, overdue items, what needs attention today — answered from your own data in seconds.
Otto’s output lands as a draft for the SMF to review, edit and approve — the accountability stays inside your firm, where the FCA expects it.
AI drafts, humans decide — nothing is auto-submitted, and every fact traces to your live data.
Most DA firms pay c. £10,000 a month for a compliance consultancy retainer — policy drafting, monitoring plan reviews, board pack production and the annual SM&CR cycle. RegTechPRO ships the same work product as live software, with the SMF accountability staying inside your firm.
What an in-house compliance officer at a DA firm wants to know before subscribing.
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