FCA authorisations, filings and AML reviews - tracked automatically
If your PI policy lapses on a Friday, you may not be able to advise on Monday. ExpiryEdge holds every regulatory date your firm has to hit, from FCA permissions and RegData returns to KYC refreshes, audit dates and each adviser's qualifications. The person who owns each one hears about it while there is still time to act.
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 tracks the regulatory deadlines a financial services firm has to meet. That covers FCA authorisations and filings, professional indemnity insurance, AML/KYC review cycles, audit dates and adviser qualifications. Each one gets a series of reminders before it lapses. Renewals are logged with a timestamp and the name of whoever did them, so the record is ready when FCA supervision or a file review comes round.
Where regulatory deadlines go wrong
Filings slip the window
The annual fee and the RegData return come round once a year. Without something counting down, someone remembers a week late.
AML reviews drift
Periodic KYC refreshes fall behind, and then you can't show the FCA that due diligence is ongoing.
PI cover lapses unnoticed
If you only look at the renewal on the day the premium is due, there is no time left to check limits or get other quotes.
No evidence at supervision
When the FCA asks for training or review history, someone spends days rebuilding it from old email.
A control for every regulatory date
FCA authorisation and permissions
Keep firm authorisations, individual approvals and permissions on one list. You see when the annual fee or an SMF update is due well before the FCA has to remind you.
Regulatory filings and returns
Add RegData returns, CASS submissions and accounts-rules deadlines, and choose how far ahead each reminder goes out.
AML and KYC review cycles
Set a KYC refresh date for each client. When it comes up, send the client a document collection link; they upload their new ID and proof of address without needing an account. The history shows regulators that your due diligence never stopped.
Professional indemnity insurance
Record the PI renewal date and your policy limits. The first reminder comes early enough to review cover and ask your broker for alternatives.
Adviser qualifications and CPD
Hold each adviser's QCF, CII, CISI or CFA qualifications and their CPD hours, so nobody gives advice on a lapsed credential.
Audit cycles and evidence
Renewals are logged, certificates stored and decisions timestamped as they happen. When an auditor or your PI insurer asks, you export the evidence in seconds.
From a regulatory date to evidence on demand
A timestamped audit trail of every renewal
Every reminder and upload is logged, along with each review and approval, and who did it and when. If the FCA or a PI insurer asks, you download the proof. Nobody spends a week piecing together email 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 what share of your regulatory items are current and how many are expiring or overdue. Directors get the firm-wide picture without opening each 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
Each regulatory item shows who owns it, when it is due and where it stands. Filter to this quarter, to one legal entity or to one person.
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
Answers for the firm’s standing with the FCA. Keeps authorisations and AML reviews on track, along with training and PI insurance, without a wall calendar.
Financial Adviser or Planner
Keeps an eye on their own QCF qualifications and CPD hours, and gets plenty of warning before a membership or registration lapses.
Managing Director or Partner
Answers for the trading authorisation and the PI cover. Wants to know nothing important has lapsed, and to have a clean audit trail ready if the FCA asks.
Firm authorisations and permissions, approved person and SMF registrations, RegData and CASS returns. Professional indemnity and public liability insurance. Each adviser's qualifications (QCF, CII, CISI, CFA, LIBF) and CPD hours. AML/KYC review cycles, AML and GDPR training certificates, platform and custodian contracts, and your ICO data-protection registration. Anything with a renewal, filing or review date can go in.
Yes. Give each client a KYC refresh date and each employee an AML training date, and set how often each one repeats. Reminders go out before the review is due. Every completed review is logged, which is how you show the FCA that your AML programme runs all year and not just before a visit.
Yes. Make the adviser the recipient and the alert goes straight to them, with the compliance officer copied in if you like. The adviser owns their own renewal, and compliance stops chasing each person by hand.
When the FCA asks for training records or qualification history, you run a report instead of gathering documents by hand. For each item, the audit trail shows its renewal history, who is responsible and when it was last reviewed. A supervision visit becomes an afternoon of exports, not a scramble.
Yes. Filings, RegData returns, external audit dates and internal review cycles sit on the same dashboard as qualifications and insurance. Each keeps its own deadline, owner and reminder schedule, and the firm’s whole regulatory calendar fits in one view.
Usually the same day. Import what you already have from a spreadsheet, give each authorisation, filing, policy or qualification its deadline and notice period, and upload the documents. Reminders start from there. The 14-day free trial includes every feature, and you don't need a credit card.