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ReguFlow Pro 

Supervisory Technology For
Financial Service Commissions

In the ever-evolving landscape of regulatory requirements and emerging risks, traditional supervisory systems fall short. That's why financial regulatory organizations need ReguFlow Pro, a robust and flexible risk-based financial supervision platform. We understand that one size doesn't fit all, hence the solution is completely tailor made and customized to each commission's jurisdiction. Designed to adapt alongside dynamic global standards, ReguFlow Pro empowers you to meet evolving mandates and future-proof your supervision platform.

With RegulFlow Pro, financial service commissions gain a tailored solution that streamlines complete lifecycle of licensing via digital forms linked to automated workflows from submission to final approval. It maintains a master data repository and provides you with up-to-date real time Licensee Profile and ensures compliance with Solvency I and II mandates. It offers pre-built risk management tools like the CARAMEL framework, equipping you with risk ratings and metrics for informed decision-making. 

Say goodbye to manual tasks and embrace a new era of efficiency and accuracy. Choose RegulFlow Pro and revolutionize your financial supervision capabilities, ensuring compliance and staying ahead in today's dynamic regulatory landscape - the future of regulatory compliance is here.

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e-Portal hosted On-Prem

Optimized Communication Interface with Licensees

Complete Lifecycle of Licensing

Automated Inter-department Workflows

Risk Management

Master Data Repository

Real time Licensee Profile


ReguFlow Dashbard

Role-based Dashboard

ReguFlow Pro’s Dashboard is customized to meet the different requirements and expectations of various users, whether they are internal users or registrants.


For internal users at Regulators, the Dashboard enables them to effectively handle and process the forms submitted by the registrants. It delivers real-time data on active licenses, pending payment amounts, tasks, and drafts to optimize workflow and boost productivity.


For registrants, the Dashboard acts as a comprehensive homepage for all activities, providing easy access to submissions, drafts, alerts and notices ensuring smooth navigation and interaction. ReguFlow Pro’s Dashboard is user-friendly, intuitive, and adaptable, making it a user-centric and streamlined solution for your licensees and registrants.

Customizable for Multiple Legislations

ReguFlow Pro can be customized to support Multiple Legislations, while maintaining a central repository of the entity data without any duplication. 

Requirements of different legislations that apply to your jurisdiction are gathered during the design and development stage and each legislation is customized for your specific Jurisdiction.


Registrants can easily switch between different tabs to view and fill out the registration and application forms that are created for each legislation. ReguFlow Pro supports various legislations, such as SIA, IFA, FCSPA, and DARE. ReguFlow Pro’s Multi-Legislation Support feature provides you with a customized solution for your jurisdiction.

ReguFlow Legislations

Tailor Made Application Forms

ReguFlow Forms

ReguFlow Pro’s Application Forms feature offers you a highly adaptable solution for your registration and compliance needs. Regulators can create application forms that are customized for their jurisdiction and legislation. ReguFlow Pro supports various types of application forms, such as:

  • Application Forms: These are the forms that you need to apply for registration as a registered firm or individual under different legislations.

  • Material Change: These are the forms that you need to submit when there is a material change in your business activities, such as a change in name, address, ownership, or key personnel. 

  • Ongoing Obligations: These are the forms that you need to submit on a regular basis to comply with the ongoing reporting obligations of different legislations and jurisdictions, such as financial statements, annual reports, or compliance certificates. 

  • Audited Financial Statements: These are the forms that you need to submit to provide audited financial statements of your business activities, as required by different legislations and jurisdictions. 

  • UNSCR Notifications: These are the forms that you need to submit to notify the regulators of any transactions or activities that are related to the United Nations Security Council Resolutions (UNSCR), such as sanctions, embargoes, or asset freezes.


Registrants submit and track requests for each form and legislation from a single interface. ReguFlow Pro’s Application Forms feature simplifies the registration process and enhances accuracy and compliance with legal standards.

Realtime Licensee Profile

With ReguFlow Pro's Licensee Profile, regulators gain seamless access to critical information, including licenses, senior staff, shareholders, related organizations, communications, payment history, and complete inspection records. This information is automatically updated from entity organization submissions, providing regulators with a comprehensive view of every entity they are responsible for regulating.

Automatically generated and updated profiles ensure that validated data is captured and presented accurately. Authorized users can also manually create and modify profiles when necessary. Profiles within ReguFlow Pro offer a consolidated area to present the complete activity and history of each regulated entity in a compact format. This includes registrant information, such as contacts or registration categories, submissions, risk assessment results, a list of present and former senior officers, directors or shareholders with start and end dates, history of infractions, complaints or payments, related organizations, persons or cases, and much more. The flexibility of ReguFlow Pro allows profiles to be configured to support multiple views based on the associated type of financial institution.

ReguFlow Licensee Profile

Intelligent Workflows and
Business Process Automation

ReguFlow workflows

ReguFlow Pro’s Workflows and Business Process Automation feature provides you with a customized and intelligent solution for your regulatory process. Once the applications are submitted, an automated workflow begins that is completely tailored to each regulator’s business process. The workflow supports multi-level approvals, extensions, withdrawals, and reworks, as well as maintains the live status of each form. The workflow is intelligent and uses the most powerful workflow engine in the world, ensuring that the regulatory process is efficient, accurate, and compliant. 

ReguFlow Pro empowers the regulators to automate and optimize their regulatory process with its Business Process Automation feature. By using this feature, the regulators can:

  • Save time and effort by automating repetitive, manual, or complex tasks that are part of the regulatory process.

  • Reduce errors and delays by eliminating human mistakes and ensuring accuracy and consistency of the regulatory outcomes.

  • Improve transparency and accountability by providing a clear and accurate record of the regulatory process, as well as the status and progress of each application.

  • Enhance flexibility and adaptability by customizing and adjusting the regulatory process according to the specific needs and preferences of each jurisdiction and legislation.

  • Boost trust and confidence by increasing the responsiveness and compliance of the registrants and the public.

Embark on Your Regulatory Evolution with Our Proven BluePrint for Success!
Start with Meticulous Process Mapping
Portal Design, Forms & Workflows Development
Embrace the Future with RPA
Ready to Elevate Your Regulatory Processes?
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