See exactly how RegTechPRO works.

A monitoring plan that runs itself, with the judgement built in

The Compliance Monitoring Plan is a schedule, not a document. Each monitoring area carries its category, frequency, owner, last review and next due date, and the year is laid out as a heat grid so the busy weeks are visible months ahead.

The library behind it holds 1,139 expert-built templates across seven regulators, organised by chapter. Add a chapter and its checks arrive with the guidance already written, so the plan is defensible from the day it is adopted.

Open a check and the guidance is complete before you start: what the check covers, how to approach it and the pitfalls a supervisor would look for, written by senior compliance practitioners, not generated. Every check cites the rules it tests, and each FCA Handbook citation links straight to the live FCA Handbook.

Log a finding and it carries a severity, a root cause and remediation actions, each with an owner and a due date. That is the chain a supervisor looks for: the check, what it found, who is fixing it and by when.

Every person, evidenced under the regime that applies to them

People Compliance holds a record for every member of staff, typed to their regime: senior manager, certified person or other staff. The page opens on the headline numbers a supervisor asks for first: how many senior managers and certified persons, how many fit and proper reviews are outstanding, and how much of the vetting is complete.

Open a person and everything about them sits in one record: their statement of responsibilities, the Fit and Proper assessment, the due diligence held on them, their CPD and, where it applies, their personal account dealing. When the FCA asks who is accountable for what, and whether they remain fit and proper, the answer is on one page.

Start a record with a person’s IRN and their roles arrive from the FCA Register, beside any disciplinary history it holds and the firms they have held roles at in the last six years, ready for their references.

Every regulatory change, found, read and acted on

Regulatory Intelligence brings the publications of the FCA, the PRA, HMRC, the CMA and the other bodies a firm answers to into one live feed. Filter it by source, type and sector, switch on firm relevance to see what applies to you, and save, mark read or assign each item, so the horizon scan is a record rather than an inbox.

Rule Map reads the FCA Handbook every day and suggests the chapters that come with each firm’s permissions, which can arrive straight from the FCA Register. Every rule sits beside the checks that test it, and a change shows its wording before and after, the date it takes effect and the work it touches. Saved items become a report in a click, with what each means for the firm and the actions to take.

The report the regulator actually reads

The Reports module holds every regulatory report the firm needs, built from the records already entered: the Compliance Position, an Overall Readiness view, the MLRO annual and REP-CRIM return, the SUP 12 report, the Consumer Duty board report, the DPO annual and ICO accountability pack, the CASS annual and CMAR, the Risk Committee report, the Compliance Monitoring report, and an FCA Readiness report for each area.

The figures are calculated from the data. Otto writes the executive summary and the commentary, at the depth you choose, and says plainly where evidence is missing rather than padding. Export to PDF or Word, or re-run it the moment the records change. Otto is grounded in 150+ expert-authored documents, the FCA Handbook and 28 years of compliance practice. It drafts. A person reviews and decides.

Every AR in one view, with a rating each

Principal firms get a further layer: each appointed representative runs as its own workflow, with its own dashboard, registers, attestations and people, and the Network Dashboard rolls the lot up. Aggregate health, a RAG muster, a severity-ranked triage queue and an attestation chase-list that names which ARs still owe you one.

Every AR's rating explains what drove the colour, a defensibility radar names the weak flank in plain English, and the SUP 12 report builder produces the full fourteen-section report or an FCA dry run on demand.

Each AR gets its own portal. Behind its own secure login, an AR sees only its own monitoring plan, attestations, registers and task calendar. The principal sends what it needs completed; the AR completes it, attaches the evidence and sends it back; and every attestation, document and record the AR files lands on the principal's side for approval. Information moves both ways, and the principal never chases by email.