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Anna

Expert Compliance Assistant

Hi, I'm Anna!

RegTechPRO's expert compliance assistant. Ask me about FCA regulations, compliance requirements, or workload management.

Compliance Hub
Renews 01/01/2026 ¡
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Firm Compliance

Manage firms and appointed representatives

Firm & AR Compliance Dashboard

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Firms & ARs
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Authorised Firms

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FCA authorised
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Appointed Reps

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AR network
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Active

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Currently trading
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DD Complete

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Firm/AR Name ↕ FRN ↕ Type ↕ Status ↕ Parent Workflow DD Progress ↕
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Firm & AR Management

Select a specific workflow above, then start a new entry or select an existing one from the list.

Add New Firm

FIRM
Firm / AR Information
AR Appointment Details
Contact Information
Permissions & Business Type
New Child Workflow
— Add users to this workflow who require isolated access
Due Diligence Documents

Track completion status of required due diligence documents for this firm/AR.

Document Status File

🤝 AR Dashboard

FRN: — â€ĸ Company: — â€ĸ AR Since: —

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AR Overview
Classification & relationship details
No business types selected. Click "Select business type..." above to add FCA business categories.
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Fees & Revenue
Commercial terms & income tracking
Customer Classification
Retail/Consumer
Commercial
Income (YTD)
Regulated Income
Non-Regulated Income
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Permitted Activities
FCA regulated activities authorised for this AR
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Key Performance Indicators
Monthly performance metrics tracking
Metric
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Key Contacts
Primary business contacts
Name Position Email
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Approved Persons (APERs)
Certified & senior manager functions
Name IRN CF Since To
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Social Media & Web Presence
Online channels for monitoring
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đŸĻ
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đŸŽŦ
đŸ’ŧ
đŸ‘ģ
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Audit Actions
Compliance review history & findings
Frequency Date Conducted Date Issued # Red # Amber # Green RAG Comments
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Summary of Red/Amber Audit Issues
Outstanding compliance findings requiring attention
Date RAG Summary
User Management

Manage users who have access to this workflow. Note: users added here have access to the child workflow only. To manage this Firm/AR record, users must be added to the Parent Workflow instead.

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Firm Record
FCA authorised firm with direct permissions
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Appointed Representative Record
AR operating under a principal firm's permissions
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User Group
Standalone workflow for managing user access

Select Business Type

📈 Investment & Capital Markets
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Investment Adviser
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Discretionary Manager
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Wealth Management
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Stockbroker
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Portfolio Manager
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Fund Manager
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Corporate Finance
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Venture Capital
đŸ’ŗ Consumer Credit
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Credit Broker
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Debt Counselling
âš–ī¸
Debt Adjusting
đŸ’ŧ
Debt Collection
đŸ’ĩ
Credit Lending
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Hire Purchase
📑 Debt Services
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Debt Management
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Debt Administration
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IVA Provider
🔍 Credit Information
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Credit Reference
â„šī¸
Credit Information
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Credit Repair
đŸ›Ąī¸ Insurance Distribution
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General Insurance
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Life Insurance
đŸĨ
Health Insurance
đŸ›Ąī¸
Protection
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Commercial Insurance
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Lloyd's Broker
đŸĻ Banking & Deposits
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Deposit Taking
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Current Accounts
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Savings Accounts
🏠 Mortgages & Home Finance
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Mortgage Adviser
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Mortgage Arranger
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Equity Release
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Buy to Let
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Bridging Finance
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Second Charge
💸 Payments & E-Money
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Payment Services
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E-Money Issuer
â„šī¸
Account Information (AISP)
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Payment Initiation (PISP)
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Money Remittance
đŸŽ¯ Crowdfunding
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Investment-Based
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Loan-Based (P2P)
âš°ī¸ Funeral Plans
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Funeral Plan Provider
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Funeral Plan Intermediary
📏 Benchmarks
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Benchmark Administrator
âš–ī¸ Claims Management
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Claims Management
đŸ’ŧ
PPI Claims
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Financial Product Claims
đŸŽ¯ Pensions
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Pension Transfer
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Pension Advice
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SIPP Operator
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FCA Permitted Activities

📈 Investment Business
Advising on Investments Art. 53
Personal recommendations on designated investments
Arranging Deals in Investments Art. 25
Making arrangements for another person to buy/sell investments
Making Arrangements with View to Transactions Art. 25(2)
Arrangements enabling/facilitating investment transactions
Managing Investments Art. 37
Discretionary investment management
Dealing in Investments as Principal Art. 14
Buying/selling investments on own account
Dealing in Investments as Agent Art. 21
Buying/selling investments on behalf of others
Safeguarding & Administering Investments Art. 40
Custody and administration of investments
Sending Dematerialised Instructions Art. 45
Electronic instructions for uncertificated securities
Establishing/Operating Collective Investment Art. 51ZA-ZE
Managing authorised funds
đŸ’ŗ Consumer Credit
Credit Broking Art. 36A
Arranging credit agreements for consumers
Operating Electronic System (P2P) Art. 36H
Operating peer-to-peer lending platforms
Debt Adjusting Art. 39D
Negotiating terms of debts with creditors
Debt Counselling Art. 39E
Giving advice about the liquidation of debts
Debt Collecting Art. 39F
Collecting payments under credit agreements
Debt Administration Art. 39G
Administering credit agreements on behalf of lenders
Providing Credit Information Services Art. 89A
Taking steps on credit information on behalf of individuals
Providing Credit References Art. 89B
Credit reference agency services
Agreeing to Carry On Credit Activity Art. 64
Agreeing to carry on regulated credit activities
Entering into Credit Agreements Art. 60B
Entering into credit agreements as lender
Entering into Hire Agreements Art. 60N
Consumer hire agreements
🏠 Home Finance
Advising on Regulated Mortgage Contracts Art. 53A
Personal recommendations on mortgages
Arranging Regulated Mortgage Contracts Art. 25A
Making arrangements for mortgage transactions
Entering into Regulated Mortgage Contracts Art. 61(1)
Entering into mortgages as lender
Administering Regulated Mortgage Contracts Art. 61(2)
Notifying borrowers, collecting payments
Advising on Home Reversion Plans Art. 53B
Personal recommendations on equity release
Arranging Home Reversion Plans Art. 25B
Making arrangements for equity release transactions
Advising on Home Purchase Plans Art. 53C
Personal recommendations on Islamic mortgages
Arranging Home Purchase Plans Art. 25C
Making arrangements for home purchase plans
Advising on Sale & Rent Back Art. 53D
Personal recommendations on SRB agreements
Arranging Sale & Rent Back Art. 25D
Making arrangements for SRB transactions
đŸ›Ąī¸ Insurance Distribution
Advising on Insurance Contracts Art. 53
Personal recommendations on insurance
Arranging Insurance Contracts Art. 25
Making arrangements for insurance policies
Dealing in Insurance Contracts as Agent Art. 21
Acting as agent for insurers or clients
Assisting in Administration & Performance Art. 39A
Helping with insurance policy management
Effecting Contracts of Insurance Art. 10
Writing insurance business (insurers only)
Carrying Out Contracts of Insurance Art. 10
Performing insurer obligations
💸 Payments & E-Money
Providing Payment Services PSRs 2017
Payment execution, acquiring, remittance
Issuing Electronic Money EMRs 2011
Issuing e-money stored on electronic devices
Account Information Services (AISP) PSRs 2017
Consolidating payment account information
Payment Initiation Services (PISP) PSRs 2017
Initiating payments on behalf of customers
đŸĻ Banking
Accepting Deposits Art. 5
Taking deposits from customers (banks/building societies)
âš°ī¸ Funeral Plans
Entering into Funeral Plan Contracts Art. 59
Entering into pre-paid funeral plan contracts as provider
Carrying Out Funeral Plan Contracts Art. 59
Performing funeral plan obligations
Arranging Funeral Plan Contracts Art. 25(1A)
Making arrangements for funeral plan sales
Advising on Funeral Plan Contracts Art. 53(1A)
Personal recommendations on funeral plans
📏 Benchmarks
Administering a Benchmark Art. 63O
Administering arrangements for determining benchmarks
âš–ī¸ Claims Management
Seeking Out, Referring & Identifying Claims Art. 89G
Identifying claims and claimants
Advising a Claimant Art. 89H
Advice about making/pursuing claims
Investigating or Representing Claimant Art. 89I
Investigating circumstances or representing claimants
đŸ“ĸ Financial Promotions
Agreeing to Carry On Regulated Activities Art. 64
Agreeing to carry on any of the above activities
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