AI-native compliance audits for UK businesses
Turn company evidence into compliance audit findings.
For UK compliance, legal, and risk teams operating under FCA, GDPR, and EU guidelines.
Regis maps policies, control frameworks, and evidence trails against sector regulations. Synthesize structured gap analyses, draft remediation text, and build review trails for professional sign-off.
Human Signoff Required: Regis supports judgement — outputs stay draft until reviewed by qualified professionals.
* Request a pilot audit for your firm or schedule a compliance mapping session.
6
UK frameworks
19
UK requirements
EU · US
in development
Live for UK compliance today · EU & US coverage in active development
Audits mapped directly to authoritative compliance registries.
FCA (Financial Services)
SYSP, COBS, Cond. Thresholds
GDPR / DPA 2018
Data Mapping, Transfer Safeguards
EU ESMA / EBA
Outsourcing & Cloud guidelines
UK Media & Advertising
Workplace, Pitch & Gifts policy
Built for UK compliance & legal teams.
Representative workflows from early pilots. Every finding is structured for direct validation by certified compliance consultants and internal counsel before sign-off.
Map internal policies against FCA Operational Resilience (SYSC) guidelines in a single session, surfacing gaps in vendor oversight for reviewer sign-off.
Findings held as draft until human-verified
Compile GDPR data mappings and supplier data-processing agreements into a reviewable sign-off folder to support external security-audit preparation.
Structured for counsel review
Operational compliance tools replacing generic SaaS abstractions.
Analyze evidence, draft controls, and monitor regulations within a single, reviewable workflow.
Clause mapping match
Requirement: Article 25 (Privacy by Design)
"System architecture must enforce data minimization constraints."
Gap detected: No automated deletion schedules or minimization controls specified.
Tag gaps and strengths across all mapped clauses, with reviewer notes preserved.
Run a gap auditDesigned for the findings business leaders need to evidence.
Below are typical gap findings identified by Regis AI, mapped directly to real policies and regulations. Click any finding to inspect citation evidence.
Example findings from real regulatory frameworks
A media agency policy allows client entertainment, but does not define value thresholds, tender-period restrictions, approval owners, or escalation notes.
“Corporate entertainment and hospitality during tender procedures or vendor reviews are strictly frozen. Out-of-hours hosting is capped at £75 per attendee and requires written approval from the departmental head.”
A reviewable process for evidence compilation.
Regis supports human judgement. We automate the analysis so compliance teams can spend time on validation and decisions.
Define company context
Set the firm’s size, regulatory packs, and scope parameters before scanning starts.
Upload evidence files
Submit text records, policies, manuals, or agreements to your secure platform library.
Map rules to controls
AI analyzes documents against framework obligations and identifies gaps and strengths.
Review and sign off
Resolve findings, draft remediation language, and log sign-offs in the audit trail.
Start with a scoped pilot on your own policies.
Engagements begin as a pilot audit tailored to your firm’s frameworks and documents — so you evaluate Regis on your own compliance material before any wider commitment.
Scope
We agree the frameworks in scope (FCA SYSC, UK GDPR, SM&CR, AML, and more) and the policies you want reviewed. Company context is enriched from Companies House.
Pilot audit
Upload your real policies. Regis returns a prioritised findings report — risk-rated gaps, cited to the governing rule, with ready-to-paste draft remediation for each.
Reviewed hand-off
Every finding stays draft until an authorised reviewer signs it off. You keep the full audit trail — reviewer, rationale, and resolution — for your records.
Decide on rollout
Assess the results against your own review cycle, then expand scope to more frameworks, documents, or teams. No lock-in to evaluate.
Pilots are scoped per firm — we tailor frameworks and documents with you.
Designed for compliance owners.
Regis separates user needs to provide maximum efficiency for corporate reviews and external advisory work.
In-house Corporate Teams
Media and advertising teams
Review gifts, hospitality, pitch-process, vendor, personal data, and workplace policy evidence.
Financial services firms
Review FCA, SMCR, Consumer Duty, AML, privacy, and operational resilience evidence.
Technology companies
Translate fast-changing product, vendor, data, security, and governance obligations into reviewable gaps.
Advisory & Legal Partners
Professional services firms
Prioritise policy updates across client work, privacy, conflicts, conduct, records, and resilience.
Outside counsel
Accelerate first-pass gap reviews while preserving expert judgement and review notes.
Compliance consultants
Produce structured client deliverables without rebuilding the audit method each time.
What Regis AI is not.
Regis AI supports compliance gap analysis, policy drafting, and regulatory monitoring workflows, with authorised professionals making the decisions.
All outputs use careful language: potential risk, consider, requires review. Regis never states that an activity is compliant, approved, safe, or legal.
Not legal advice
Regis surfaces evidence, risk language, and review questions for qualified teams.
Review guardrails
Designed to support judgement, not replace it.
Outputs stay marked as draft until reviewed.
Risk language avoids absolute legal conclusions.
Reviewer notes and escalation context stay visible.
Structured risk information