Regulatory Technology

Free Regulatory Tools

Professional compliance tools to help UK financial services firms stay compliant. Free to use, no registration required.

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Get Authorised

Scope your permissions and prepare a credible FCA application.

The Service Finder toolAuthorisation

Service Finder

Answer five short questions about your firm and its regulatory position, and get a tailored recommendation for the authorisation or compliance support that fits.

  • Five questions, about two minutes
  • Tailored recommendation
  • No registration required
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The Will the FCA Authorise Us? toolAuthorisation

Will the FCA Authorise Us?

Get an instant readiness verdict for FCA authorisation, tailored to your activity (claims management, payments, consumer credit, investments, insurance or crypto). A 3-minute triage designed by ex-FCA specialists.

  • Instant readiness score
  • Specific gaps to close
  • Tailored to your activity
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The Regulatory Perimeter Assessment toolAuthorisation

Regulatory Perimeter Assessment

Discover your FCA regulatory requirements instantly. Interactive assessment mapping activities to permissions, sourcebooks (PRIN, COBS, CONC, MCOB, ICOBS), and compliance artefacts with PERG/RAO guidance.

  • PERG/RAO mapping
  • Sourcebook explainers
  • Artefact templates
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The FCA Authorisation Readiness Checklist toolAuthorisation

FCA Authorisation Readiness Checklist

Track your preparation for an FCA authorisation application. Interactive checklist covering legal entity, key individuals, capital, operations, and business plan requirements.

  • 45-item checklist
  • Progress tracking
  • PDF export
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The FCA Fee Calculator toolFees & Costs

FCA Fee Calculator

Calculate your annual FCA regulatory fees instantly. Wizard-style calculator guiding you through firm type selection and tariff data entry.

  • Instant calculations
  • Pre-defined firm types
  • Accurate estimates
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Stay Compliant

Evidence your obligations and keep controls audit-ready.

The Company Trust Check toolDue Diligence

Company Trust Check

Check a UK company before onboarding, paying, supplying or extending credit. Review Companies House status, filings, directors, PSCs, charges and red flags in a PDF-ready evidence report.

  • Company status
  • Director and PSC checks
  • Filing risk flags
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The SM&CR Navigator toolGovernance

SM&CR Navigator

Build your SM&CR framework step-by-step. Identify SMFs, allocate responsibilities, manage certification, and track F&P assessments.

  • Six-step wizard
  • SMF library
  • F&P tracking
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The Consumer Duty Outcomes Checker toolConsumer Duty

Consumer Duty Outcomes Checker

Rapid structured assessment against the four Consumer Duty outcomes with board-ready action plans and evidence requirements.

  • Four outcomes assessment
  • Board report export
  • Evidence tracking
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The Consumer Duty Board Report Diagnostic toolConsumer Duty

Consumer Duty Board Report Diagnostic

Comprehensive 28-question diagnostic to prepare your annual Consumer Duty board report - covers all seven outcome areas with evidence gap analysis and an action plan.

  • Seven outcome areas
  • Evidence gap analysis
  • Board-ready action plan
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The Financial Promotions Quick Guidance toolMarketing & Comms

Financial Promotions Quick Guidance

Media-neutral pre-clearance aid for financial promotions. Regime-specific rules, prominence requirements, and approval checklists.

  • All channels covered
  • Product-specific rules
  • Prominence guidance
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The Vulnerability Support Checker toolConsumer Duty

Vulnerability Support Checker

Proportionate adjustments for customers in vulnerable circumstances across different journey steps with FG21/1 alignment.

  • Journey-specific prompts
  • FCA's 4 drivers
  • MI requirements
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The Financial Crime Assessment toolFinancial Crime

Financial Crime Assessment

Self-assess your AML/CTF controls against Dear CEO letter themes with RAG scoring and expert recommendations.

  • Dear CEO aligned
  • RAG scoring
  • Expert recommendations
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Fix A Regulatory Issue

Benchmark against enforcement data and handle complaints correctly.

The Complaints Checker (DISP) toolComplaints

Complaints Checker (DISP)

Stay on track with DISP timelines, mandatory letter content, and root-cause analysis. Calculate deadlines and export case files.

  • Timeline calculator
  • Letter templates
  • Root cause tags
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The RegActions Enforcement Database toolData & Insights

RegActions Enforcement Database

Search and analyse FCA enforcement actions and penalties, alongside enforcement data from regulators worldwide, with advanced filtering and trend analysis.

  • FCA plus global regulators
  • Advanced filters
  • Trend analysis
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Data & Insights

FOS Complaints Database

Financial Ombudsman Service complaints data by firm and sector. Understand complaint volumes, outcomes, and trends.

  • FOS case data
  • Firm comparisons
  • Sector analysis
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Need Expert Support?

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