For FCA-regulated firms
Map your policies against FCA requirements.
Upload your compliance manual and supporting policies. Regis maps them against SM&CR, Consumer Duty, systems and controls, and operational resilience requirements, then returns risk-rated draft findings your compliance officer reviews and signs off.
The manual and the rulebook drift apart
Statements of Responsibilities, Consumer Duty outcomes, and SYSC controls change on different cycles. A manual reviewed last year can miss obligations that apply today.
Gap reviews are slow and expensive
A full external gap analysis is a significant line item and often lands as a static PDF. Repeating it after every policy change rarely happens.
Evidence lives everywhere
Policies, registers, board minutes, and supplier agreements sit in separate places. Assembling them into a reviewable position takes days before analysis even starts.
Every requirement this analysis checks.
The 12 requirements below are the exact analyser scope for this page’s frameworks, each with its rule citation. Nothing outside this list is claimed. See the full coverage matrix for every framework.
| Requirement | Rule source |
|---|---|
| Senior Management Arrangements | FCA SYSC 2.1 / SM&CR |
| Senior Manager Responsibilities and Statements of Responsibilities | FSMA 2000 s64A / SM&CR SOF |
| Certification Regime | FSMA 2000 s63F / FCA SYSC 27 |
| Consumer Duty — Four Consumer Outcomes | FCA PRIN 2A / PS22/9 |
| Client's Best Interests Rule | FCA COBS 2.1.1R |
| Suitability Assessment | FCA COBS 9A.2 |
| Product Information and Financial Promotions | FCA COBS 14.3 / COBS 4 |
| Compliance Function | FCA SYSC 6.1 |
| Risk Assessment and Control | FCA SYSC 7.1 |
| Conflicts of Interest Policy | FCA SYSC 10.1 |
| Important Business Services and Impact Tolerances | FCA PS21/3 / SS1/21 |
| Operational Resilience Testing and Self-Assessment | FCA PS21/3 / SS1/21 |
How it works.
Upload your FCA evidence
Compliance manuals, conduct policies, governance maps, and resilience documentation go into your secure library.
Map against FCA requirements
Regis checks the evidence against each in-scope SM&CR, Conduct, Systems, and Operational Resilience requirement and drafts a finding for every gap, citing the governing rule.
Review and sign off
Your compliance officer validates each finding, edits the draft remediation, and records the sign-off. The audit trail shows who reviewed what and why.
Human sign-off required
Every output stays draft until a qualified professional reviews and signs it off. Regis supports judgement with structured, cited risk information; it never states that an activity is compliant, approved, safe, or legal. Read how findings are made and cited.
Common questions.
Which FCA requirements are covered?
The table above is the complete FCA scope: every requirement the analyser checks, with its rule citation. Coverage is limited to the frameworks shown in the product; the full list across all frameworks is on the coverage page.
Does Regis tell me whether my firm is compliant?
No. Regis surfaces potential gaps and drafts remediation language for review. It never states that an activity is compliant, approved, safe, or legal. Findings stay draft until a qualified professional signs them off.
Can I re-run the analysis after fixing gaps?
Yes. Premium includes re-scans that compare the new position against the previous audit and classify each finding as closed, improved, persisting, or new.