Reg Vault
Authorisation workflow engine and document vault
End-to-end management of regulatory authorisation applications, variations, and ongoing permissions. Secure document vault with version control, approval workflows, and FCA submission tracking.
Capabilities
Secure Document Vault
Encrypted storage for regulatory documents, applications, and correspondence with full version history.
Application Workflows
Structured workflows for new authorisations, variations, and cancellations with stage tracking.
Submission Management
Track FCA submissions, responses, and information requests with deadline monitoring.
Approved Persons
Management of SM&CR applications, fitness and propriety assessments, and role mappings.
Deadline Tracking
Automated reminders for regulatory deadlines, renewal dates, and reporting obligations.
Audit Trail
Complete audit log of document access, modifications, and approval decisions.
Use Cases
Technical Intelligence
Regulator-grade, AI-driven FCA authorisation platform
9
Journey Stages
3
Licence Phases
4
Capital Methods
AI
Interview Engine
Technology Stack
Architecture Principles
Dual Operating Modes
Supports both new authorisation journeys and ongoing licence management within a single unified platform.
FCA Capital Compliance
Full implementation of Methods A, B, C, and D for regulatory capital calculations — directly aligned with FCA requirements.
Verifiable Production System
Every regulatory output is auditable, traceable, and production-grade — not advisory templates.
“Not advice. Not templates. A verifiable regulatory production system.”
— Reg Vault Design Philosophy
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