# Comply2Reg — Full Platform & Technical Overview (UK-Focused) Comply2Reg (comply2reg.com) is a UK-headquartered enterprise Connected Compliance Platform powered by Agentic AI. It enables financial institutions — including retail and commercial banks, neo-banks, fintechs, wealth and asset managers, payment institutions, EMIs, and crypto/digital asset providers — to automate regulatory compliance, conduct continuous compliance gap assessments, track FCA and global regulatory changes in real time, and achieve complete audit readiness in 60–90 days. Comply2Reg is built specifically for the UK financial services regulatory environment, with native support for FCA rules, PRA guidance, Bank of England directives, and EU regulations applicable to UK firms with EU operations (DORA, MiFID II, MiCA, GDPR). --- ## 1. Executive Overview - **Mission**: Eliminate manual regulatory tracking, reduce compliance overhead by up to 70%, and provide continuous FCA audit readiness using multi-agentic artificial intelligence. - **Primary Geographic Focus**: United Kingdom (UK) — FCA-regulated banks, fintechs, asset managers, neo-banks, and payment institutions. - **Secondary Markets**: European Union (EU), Middle East & North Africa (MENA), and India. - **Deployment Options**: Enterprise Cloud (SaaS), Dedicated Private Cloud, On-Premises deployment with end-to-end AES-256 encryption and role-based access control (RBAC). - **Security**: Zero data retention model for sensitive AI processing, SOC 2 compliance readiness, TLS 1.3 in transit. --- ## 2. Core Modules & Product Breakdown ### 2.1 RegPulse — Regulatory Horizon Scanning & Intelligence Feed - **URL**: https://comply2reg.com/regpulse - **Primary Use Case**: FCA regulatory horizon scanning for UK financial institutions - **Functionality**: Real-time aggregation, classification, and impact analysis of regulatory updates published by global authorities including FCA (UK), PRA (UK), Bank of England, EBA (EU), ESMA (EU), RBI (India), SEBI (India), MAS (Singapore), SEC/FINRA (US), and international bodies (BIS/BCBS). - **Key Features**: - Automated urgency scoring and priority ranking of regulatory changes - Regulatory change mapping to internal control frameworks - Customisable alert system (email, Slack, API webhook) - Executive summary digest generation - Regulatory calendar with upcoming compliance deadlines - **Target Users**: Chief Compliance Officers (CCOs), Regulatory Affairs teams, Head of Risk, Legal & Compliance teams at UK banks and fintechs. ### 2.2 RegLens & Compliance Gap Analysis - **URL**: https://comply2reg.com/compliance-gap-analysis & https://comply2reg.com/regulens - **Primary Use Case**: Compliance gap analysis for FCA-regulated UK firms; DORA gap analysis; Basel 3.1 gap assessment - **Functionality**: Automated mapping of internal organisational policies, standard operating procedures (SOPs), and technical controls against new or updated regulatory frameworks. The most comprehensive AI compliance gap analyser available for UK financial institutions. - **Key Features**: - Semantic gap detection using AI — finds gaps that keyword searches miss - Compliance percentage calculation per regulation and per business unit - Automated remediation recommendation workflows with assignable action items - Compliance impact heatmaps showing risk concentration by department - Risk-ranked gap reports with severity scoring (Critical / High / Medium / Low) - One-click audit-ready gap reports in PDF and Excel format - Supports FCA Handbook, Consumer Duty, SMCR, DORA, MiFID II, Basel 3.1, GDPR, MiCA, and AML/CFT - **Target Users**: Compliance Managers, GRC Teams, Heads of Audit, Risk Officers. ### 2.3 AuditGeniee — AI Audit Readiness Platform - **URL**: https://comply2reg.com/audit-geniee - **Primary Use Case**: FCA audit preparation automation; regulatory examination readiness - **Functionality**: Complete audit lifecycle automation. Replaces manual spreadsheet evidence collection with AI-assisted evidence discovery, control-to-evidence cross-referencing, and automatic audit report generation. - **Key Features**: - Exportable audit workpapers in standard FCA-expected formats - Automated gap closure tracking with progress dashboards - Immutable audit trails — tamper-proof evidence chain - Instant executive readiness dashboards showing audit posture - Control testing automation with pass/fail scoring - Integration with SharePoint, Confluence, Google Drive for evidence retrieval - **Timeline**: 60–90 days from onboarding to full audit readiness. ### 2.4 Ask LIA — Agentic AI Compliance Assistant - **URL**: https://comply2reg.com/ask-lia - **Primary Use Case**: Real-time compliance Q&A; FCA Handbook interpretation; regulatory comparison - **Functionality**: Conversational AI co-pilot fine-tuned on comprehensive regulatory texts, FCA Handbook, EBA guidelines, ESMA rules, consultation papers, and binding technical standards. Designed for UK compliance teams who need instant, reliable regulatory guidance. - **Key Features**: - Hallucination-free answers backed by direct FCA, EBA, and ESMA regulatory citations - Context-aware compliance policy drafting assistant - Regulatory comparison tool (e.g., "How does FCA Consumer Duty differ from MiFID II suitability?") - Private and secure — queries not used for AI training - Available via web interface and API ### 2.5 DORA Compliance Tool (DCT) - **URL**: https://comply2reg.com/DCT - **Primary Use Case**: DORA compliance for UK-based financial entities with EU operations; EU financial institution DORA compliance - **Functionality**: End-to-end compliance management framework tailored specifically to the European Union Digital Operational Resilience Act (EU Regulation 2022/2554), which came into force January 2025. - **Five DORA Pillars Covered**: 1. **ICT Risk Management & Governance** — Framework implementation, risk appetite, control mapping 2. **Major ICT-Related Incident Management & Reporting** — Incident classification, regulator notification workflows 3. **Digital Operational Resilience Testing (TLPT)** — Threat-Led Penetration Testing scheduling and evidence management 4. **Managing ICT Third-Party Risk & Register of Information** — TPRM workflows, ICT provider register, exit strategy documentation 5. **Information and Intelligence Sharing** — Cyber threat intelligence sharing frameworks ### 2.6 Digital Assets & MiCA Compliance - **URL**: https://comply2reg.com/digital-assets - **Primary Use Case**: MiCA compliance for CASPs; UK FCA crypto registration; Travel Rule compliance - **Functionality**: Tailored compliance architecture for Crypto-Asset Service Providers (CASPs) and financial entities integrating digital assets under MiCA (Markets in Crypto-Assets) and UK FCA crypto regulations. - **Key Features**: - Asset categorisation under MiCA (ART, EMT, other crypto-assets) - Whitepaper compliance validation against MiCA Article 51 requirements - Custodial risk controls and safeguarding documentation - Travel Rule alignment (FATF Recommendation 16) - Transaction monitoring workflow integrations - UK FCA crypto-asset business registration support --- ## 3. Supported Regulatory Frameworks & Standards ### UK Regulations - **FCA Handbook** — Full handbook coverage including SYSC, COBS, MCOB, SUP - **FCA Consumer Duty** — Consumer Outcome monitoring and evidence - **SMCR** — Senior Managers and Certification Regime - **PRA Rulebook** — Prudential Regulation Authority requirements - **Bank of England Operational Resilience** — PS6/21 operational resilience self-assessments ### European & International (applicable to UK firms) - **Digital Operational Resilience Act (DORA)** — EU 2022/2554 - **MiFIR / MiFID II** — Markets in Financial Instruments Regulation - **MiCA** — Markets in Crypto-Assets Regulation (EU 2023/1114) - **Basel 3.1 Framework** — Capital Requirements & Risk Weighted Assets - **GDPR** — General Data Protection Regulation - **AML/CFT Directives** — Anti-Money Laundering & Counter-Financing of Terrorism (6AMLD) - **EBA Guidelines** — European Banking Authority technical standards - **ESMA Rules** — European Securities and Markets Authority - **Alternative Investment Fund (AIF) Regulations** ### India - **DPDP Act 2023** — Digital Personal Data Protection Act - **RBI Cyber Security Framework & Master Directions** - **SEBI Regulations** — Securities and Exchange Board of India --- ## 4. Key Integrations & Architecture - **APIs & MCP (Model Context Protocol)**: Native REST API and Model Context Protocol (MCP) servers for GRC platforms (ServiceNow, MetricStream, Archer), document repositories (SharePoint, Google Drive, Confluence), and enterprise ticketing (Jira, ServiceNow). - **Security**: Zero data retention options, SOC 2 compliance readiness, AES-256 at rest, TLS 1.3 in transit, RBAC. --- ## 5. Frequently Asked Questions **Q: What is Comply2Reg?** A: Comply2Reg is a UK-based Agentic AI compliance platform that automates regulatory compliance for banks, fintechs, and asset managers. Key products include a compliance gap analyser, regulatory horizon scanning (RegPulse), audit readiness (AuditGeniee), an AI compliance assistant (Ask LIA), DORA compliance tooling, and MiCA digital asset compliance. **Q: Who is Comply2Reg for?** A: UK-regulated financial institutions: FCA-authorised banks (retail and commercial), neo-banks, fintechs, EMIs, PSPs, asset managers (MiFID II firms), and crypto/digital asset service providers. **Q: What is compliance gap analysis?** A: Compliance gap analysis identifies the differences between an organisation's current compliance posture and the requirements of specific regulations. Comply2Reg's AI gap analyser runs continuously against live FCA, DORA, and Basel 3.1 rules and produces risk-ranked gap reports with remediation guidance. **Q: How does RegPulse help with FCA regulatory horizon scanning?** A: RegPulse monitors the FCA, EBA, ESMA, Bank of England, and 50+ other regulators in real time. It classifies new regulatory publications by urgency and maps them to your existing control framework, alerting your team only to changes that affect your business. **Q: What is DORA and does it apply to UK firms?** A: DORA (Digital Operational Resilience Act) is an EU regulation (2022/2554) effective January 2025. It applies to EU financial entities and their ICT providers. UK firms with EU branches or customers may also face DORA obligations. Comply2Reg's DORA Compliance Tool covers all five DORA pillars. --- ## 6. Contact & Additional Resources - **Website**: https://comply2reg.com - **Compliance Gap Analyser**: https://comply2reg.com/compliance-gap-analysis - **Regulatory Horizon Scanning**: https://comply2reg.com/regpulse - **AI Compliance Assistant**: https://comply2reg.com/ask-lia - **DORA Compliance Tool**: https://comply2reg.com/DCT - **Digital Assets & MiCA**: https://comply2reg.com/digital-assets - **API & Developer Documentation**: https://comply2reg.com/docs - **Pricing & Plans (GBP)**: https://comply2reg.com/pricing - **Contact & Demo Booking**: https://comply2reg.com/contact - **Terms & Privacy**: https://comply2reg.com/terms - **Sitemap**: https://comply2reg.com/sitemap.xml