Compliance Leadership for
Insurance Carriers

You’re responsible for compliance across every counterparty your business trades with. Regulators want proof. Manual processes fail audits. REG replaces fragmentation with centralised oversight.

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The Reality of Manual Compliance

Compliance processes often evolve rather than get designed. Spreadsheets, shared drives, email chains and manual checks get stitched together over time. REG replaces that complexity with a single, structured approach to managing regulatory risk.

Without REG

  • Manual checks across Companies House, FCA, sanctions lists
  • Spreadsheet tracking and shared drives
  • Email chains and printed documentation
  • Manual FCA register checks every week
  • Unclear task ownership and accountability
  • Poor visibility across delegated authority
  • High audit stress and manual evidence gathering

With REG REG Network Logo

  • Centralised oversight across all counterparties
  • Continuous automated monitoring and alerts
  • Regulatory changes surface automatically
  • Single source of truth for compliance data
  • Audit-ready evidence and structured audit trails
  • Digital TOBA signing and version control
  • Real-time visibility across distribution chains

The result is not just efficiency: it’s confidence. REG gives compliance teams a clear, consistent way to manage oversight, reduce risk, and demonstrate control to regulators and stakeholders.

Why Heads of Compliance Choose REG

Reduce Workload

Reduce Manual Workload

Stop manually checking Companies House, FCA registers, and sanctions lists every week. REG monitors continuously and alerts you to changes as they happen.

Audit Readiness

Strengthen Audit Readiness

Every compliance decision, check, and approval is recorded and centralised. When regulators or auditors ask questions, the evidence is already there.

Centralise Data

Centralise Compliance Data

Replace fragmented spreadsheets, shared drives, and email chains. All due diligence, monitoring alerts, and counterparty data sits in one auditable system.

Visibility

Gain Real-Time Visibility

Know instantly when regulatory status changes, credit deteriorates, directors change, or sanctions alerts arise. Respond proactively, not reactively.

TOBA Management

Streamline TOBA & Authority Management

Digital signing, version control, and audit trails replace paper-based processes. Know exactly which documents are current and who has signed.

Distribution Chain

Manage Distribution Chains

Gain visibility not just into direct counterparties, but downstream relationships. Understand your full distribution chain and who the ultimate beneficial owners are.

How REG Works for Compliance Teams

How REG Works for Compliance Teams

  • Continuous monitoring of sanctions, PEPs, credit, FCA status, and company changes
  • AML screening on companies, individuals, UBOs, and directors
  • Business verification and credit assessment to understand counterparty financial health
  • Regulatory and licensing verification across jurisdictions
  • Automated alerts via dashboard, email, or API integration
  • Digital document exchange with e-signature and audit-ready storage
  • Centralised evidence trail for every compliance decision
  • Real-time visibility into regulatory changes affecting your counterparties
  • Automated reminders for expiring documentation and recertification deadlines
  • Role-based access and approval workflows for governance control

Real-World Impact from Peers in Insurance

Whether you are managing a single TOBA or collecting information across hundreds of counterparties, REG Exchanges handles the whole workflow from creation to archive.

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REG Products That Matter for Compliance Leaders

REG Network

Your primary compliance operating system.

The core platform for screening, monitoring, and managing compliance obligations across your entire counterparty network.

  • AML screening and continuous monitoring
  • Business verification and credit assessment
  • Regulatory and licensing verification
  • Centralised due diligence management
  • Digital document exchange

REG Exchanges

Streamline TOBA and document workflows.

Enable secure digital exchange of documents and streamline compliance processes across your distribution chain.

  • Digital signing and document management
  • TOBA and authority documentation
  • Audit-ready version control
  • Distribution chain visibility
  • Secure counterparty collaboration

REG Risk 365

Advanced governance for enterprise teams.

Configurable risk monitoring and custom governance frameworks for organisations requiring deeper oversight control.

  • Configurable risk monitoring thresholds
  • Custom risk appetite frameworks
  • Advanced alerts and dashboards
  • Extended governance controls
  • Suitable for larger compliance teams

Solutions Designed for Compliance Leaders

Explore specific challenges we help compliance teams solve and discover the tailored solutions built for your role.

Centralised Compliance Data

Replace fragmented spreadsheets with a single source of truth for all compliance information.

Real-Time Regulatory Monitoring

Stay ahead of regulatory changes without manual FCA register checks.

TOBA Management Software

Digitise and streamline delegated authority documentation and renewals.

Automated Compliance Monitoring

Continuous oversight of your counterparty network without the manual workload.

Ready to Reduce Manual Compliance Work?

Talk to an expert about how REG can strengthen your audit readiness, centralise compliance data, and give you real-time visibility across your counterparty network.

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