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About RegteQ®

RegteQ® is our proprietary cloud-based Regtech platform.

Developed by our experienced senior compliance experts, RegteQ® empowers our clients to digitally integrate their compliance programme across their entire firm through a single, user-friendly and auditable integrated online compliance solution.


Designed to enhance the efficiency and effectiveness of compliance tasks, RegteQ® offers the following solutions:

  • Monitoring: The Monitoring module facilitates our ongoing FCA, SEC and CFTC/NFA compliance programmes through a unique multi-flow process between our consultants and clients, that streamlines the compliance monitoring process, the production of monitoring reports and ongoing analytics of regulatory compliance requirements.
  • Vault: The Vault module houses over 60 proprietary date-stamped compliance base-template documents that we provide our clients, bespoke to their specific regulatory requirements, as the basis from which to collaboratively personalise their specific compliance templates, relevant to the nuances of their firm. These client-specific templates are then also housed within the Vault for easy centralised access for relevant employees across the firm.
  • Submissions: The Submissions module empowers employees to submit Requests, Declarations and Attestation for acknowledgement and/or approval by a firm’s compliance lead/s. The module includes forms relating to personal account dealing, gifts and benefits, outside business activities, financial promotions approval, compliance attestations and SEC Code of Ethics attestations, among others. It also includes an auditable register of all historical submissions for ease of reference by the firm’s compliance lead/s, executive management and other stakeholders.
  • e-Learning: The e-Learning module integrates seamlessly with our industry-leading CPD-certified e-Learning system, offering over 20 online training courses across the topics of SMCR (Senior Managers & Certification Regime), FCA Compliance Anti-Money Laundering, Market Abuse, Anti-Bribery and Cyber Security.
  • Calendar: The in-built calendar facilitates the tracking of compliance related events and deadlines.

RegteQ® also includes a Monthly Reporting Dashboard for our Regulatory Hosting clients operating as Appointed Representatives on our Advisory Platform. Integrated with the Submissions module, the ‘RQA Dashboard’ delivers an easy and intuitive process for transparent and auditable monthly reporting by our Appointed Representatives.

Once logged in via multi-factor authentication, access to all areas of RegteQ® is strictly and securely controlled based on the level of user profile, ensuring that sensitive documentation is exclusively restricted to those employees in your firm who should have sight of them. Targeted email notifications are sent to users when there is activity on their firm’s account requiring their attention, to timeously advise them of actions required.


RegteQ® is provided as a complimentary service to all our ongoing Compliance Consulting clients and our Regulatory Hosting clients, to streamline their compliance programme.


All courses are accessible on our bespoke web or app platforms immediately upon purchase.



All courses are delivered through fully-automated, interactive online visual solutions.



Courses cost from as little as £20 per Learner per Course, or £6 per Learner on Subscription.



A certificate is issued on successful completion of all courses for compliance-filing and all UK courses are CPD-certified.



All courses include regular ‘Check Your Knowledge’ sections throughout and an end-of-course Quiz.



Courses take from 30 to 90 minutes to complete and can be viewed and completed in multiple sittings.


Purchasing, Onboarding & Volume Discounts

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

  1. Select the courses and add them to your Basket
  2. Checkout and purchase your course(s)
  3. Sign In and Register your relevant employees/Users
  4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 Courses 2.5% Discount
25 – 49 Courses 5% Discount
50 – 99 Courses 7.5% Discount
100 – 149 Courses 10% Discount
150 – 199 Courses 12.5% Discount
200 – 249 Courses 15% Discount
250 – 299 Courses 17.5% Discount
>300 Courses 20% Discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.