FCA authorisations, filings and AML reviews — tracked automatically
In financial services a lapsed authorisation or an expired PI policy is not an admin problem — it is a trading risk. ExpiryEdge tracks every regulatory deadline across your firm: FCA permissions, regulatory filings, registrations, AML/KYC review cycles, audit dates and key-person qualifications. Reminders reach the right people before any deadline becomes a breach.
Regulatory standing you can prove on demand
FCA permissions, filings and registrations in one place
AML/KYC review cycles tracked per client and per employee
Reminders to advisers, compliance officers and directors
Audit trail of every renewal decision for FCA supervision
Quick answer
ExpiryEdge is a compliance tracking platform for financial services firms. It records every regulatory item with a deadline — FCA authorisations, regulatory filings, registrations, professional indemnity insurance, AML/KYC review cycles, audit dates and adviser qualifications — and sends multi-step reminders before each one lapses. Every renewal is logged with a timestamped audit trail, ready for FCA supervision or a file review.
Where regulatory deadlines go wrong
Filings slip the window
Annual fees, RegData returns and supervision submissions are easy to miss when no system is counting down to them.
AML reviews drift
Periodic KYC refreshes fall behind schedule, leaving the firm unable to evidence ongoing due diligence.
PI cover lapses unnoticed
A renewal handled the day the premium is due leaves no time to review limits or go to market.
No evidence at supervision
When the FCA asks for training, authorisation or review history, reconstructing it from email takes days.
A control for every regulatory date
FCA authorisation and permissions
Track firm authorisations, individual approvals and permissions. Know when annual fees, supervision submissions or SMF updates are due — before the FCA chases.
Regulatory filings and returns
Track RegData returns, CASS submissions and accounts-rules deadlines with reminders at your chosen intervals.
AML and KYC review cycles
Track periodic KYC refresh dates and AML training per client and employee. Evidence a continuous due-diligence culture to regulators.
Professional indemnity insurance
Log PI renewal dates and policy limits, with enough lead time to review coverage and broker alternatives before the renewal date.
Adviser qualifications and CPD
Track QCF, CII, CISI and CFA qualifications per adviser, plus CPD hours, so no one advises with lapsed credentials.
Audit cycles and evidence
Every renewal logged, every certificate stored, every decision timestamped — pull the evidence for an audit or PI insurer in seconds.
From a regulatory date to evidence on demand
A timestamped audit trail of every renewal
Each reminder, upload, review and approval is logged with who did it and when. When the FCA or a PI insurer asks, the proof is a download — not a week of reconstructing threads.
Who did what, when — automatically
Documents stored with each record
Export to CSV, PDF or XLSX
One score for your regulatory standing
A live gauge shows the share of regulatory items that are current versus expiring or overdue, so directors see firm-wide standing without reading every record.
Firm-wide compliance health in one figure
Drill into what is expiring or overdue
Board-ready snapshot at any moment
Filings, registrations and reviews in one dashboard
Every regulatory item shows its owner, due date and status — filter by what is due this quarter, by entity, or by the person responsible.
Filter by quarter, entity or owner
Separate views for advisers and compliance
Roll up across legal entities
Who relies on it
Compliance Officer or MLRO
Accountable for the firm’s standing with the FCA. Tracks authorisations, AML reviews, training and PI insurance without manual calendars.
Financial Adviser or Planner
Tracks their own QCF qualifications, CPD hours and membership renewals, with advance notice before any registration lapses.
Managing Director or Partner
Accountable for trading authorisation and PI cover. Wants confidence nothing critical lapses and a clean audit trail if the FCA asks.
What regulatory items can financial services firms track with ExpiryEdge?
FCA firm authorisations and permissions, approved person and SMF registrations, RegData and CASS returns, professional indemnity and public liability insurance, individual adviser qualifications (QCF, CII, CISI, CFA, LIBF), CPD hour requirements, AML/KYC review cycles, AML and GDPR training certificates, platform and custodian contracts, and ICO data-protection registration. If it has a renewal, filing or review date, ExpiryEdge can track it.
Can ExpiryEdge track AML and KYC review cycles?
Yes. You can record periodic KYC refresh dates per client and AML training refresh dates per employee, each on its own cadence. Reminders fire ahead of the review date so due diligence stays current, and every completed review is logged so you can evidence a continuous AML programme to the FCA.
Can reminders go directly to advisers for their own qualifications?
Yes. For individual qualification reminders, you configure the adviser as the recipient — they receive the alert directly, and the compliance officer can be copied. The person whose qualification it is takes responsibility for renewal, rather than the compliance team chasing everyone manually.
How does ExpiryEdge help with FCA supervision visits?
When the FCA requests evidence of training compliance, qualification history or authorisation records, you pull the relevant reports rather than assembling documents manually. The audit trail shows each item, its renewal history, the responsible person, and when it was last reviewed. Supervision visits become routine rather than reactive.
Can we track filings and audit cycles alongside qualifications?
Yes. Regulatory filings, RegData returns, external audit dates and internal review cycles are tracked in the same dashboard as qualifications and insurance — each with its own deadline, owner and reminder cadence. One view covers the firm’s entire regulatory calendar.
How quickly can a firm get set up?
Most teams are live in under 10 minutes. You can import existing records from a spreadsheet, log each authorisation, filing, policy and qualification with its deadline and notice period, upload the documents, and start receiving automated reminders. ExpiryEdge offers a 14-day free trial with full access — no credit card required.
Every regulatory deadline tracked, every renewal evidenced
Free to try. No credit card required.