Reg ADVantage RegTech
Candour
powered by Reg ADVantage
The compliance platform for your own firm. Monitoring, policies, risk, surveillance, senior managers and the code of ethics in one place, built for hedge funds, prop trading firms and market makers.
Your whole compliance function. One platform.
Scoped to your firm
Policies, risks, monitoring tests and surveillance models set from your permissions, instruments and activities.
Every staff action recorded
Dealing requests, gifts, attestations and outside interests, each checked, decided and signed off.
Change assessed first
A new venue, asset class, prime broker or algorithm is assessed before it starts.
Evidence on demand
Every test, decision and sign-off kept with its evidence, ready for the board and the FCA.
What's inside
Fourteen screens. One audit trail.
Firm compliance
- Compliance dashboard
- Monitoring plan
- Policy library
- RCSA
- Surveillance
- SMCR
Code of ethics
- Personal account dealing
- Gifts and entertainment
- Attestations
- Outside business interests
- Whistleblowing
Business change
- Algo trading
- New business activity
- Regulatory horizon
Code of ethics
Pre-clearance that checks itself.
Each dealing request is checked automatically against the restricted and watch lists, the funds' own dealing and the holding period, with a recommendation for the compliance officer. Account declarations, statement reconciliation, gifts against the counterparty limit, outside interests and attestations sit alongside. Nobody approves their own request.
Surveillance and algo trading
Built for how you trade.
Surveillance models for spoofing and layering, momentum ignition, wash trades, marking the close, order-to-trade ratios, pre-announcement build and front running, as starting points to back-test on your own data. The algorithmic trading framework keeps the inventory, the pre-deployment gate, kill functionality testing and the annual RTS 6 self-assessment.
Business change
The horizon, filtered to you.
Each regulatory change is shown with why it applies to your firm and what to do. Anything new, from a venue or jurisdiction to a sub-adviser or algorithmic strategy, gets a roadmap across approvals, policy, surveillance, the RCSA, disclosures, licensing and capital before it starts.
Standalone, or with Oversight
Oversight for the firms you answer for. Candour for your own.
Hedge funds
MiFID and AIFMD managers who want the whole function in one place, with the monitoring plan and code of ethics running day to day.
Prop trading firms and market makers
Surveillance, algo trading controls and RTS 6, alongside SMCR and staff dealing.
Firms leaving a principal
An AR on Oversight that takes its own authorisation keeps its people, policies, monitoring history and evidence. They carry straight across.
About Oversight →Security and control
Controls, built in.
Microsoft sign-in
Entra ID, under your own multi-factor and access policies.
Four eyes on sign-offs
Nobody signs off their own attestation or approves their own request.
An audit trail nobody can edit
Hash-chained, with a write-once copy.
Hosted in the UK
Azure UK South, with a database of your own.
Your documents stay in your SharePoint
The platform keeps links, metadata and a fingerprint of each file.
Independently reviewed
Two independent, UK-based code reviews.
Built by a former SMF 16/17
See it on your own firm.
A live demonstration with a fictional firm, working through your own policies, people and trading.