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Regulatory Profile

  • Updated

Overview

This article explains how to view and extract a Regulatory Profile within the REG Network.

You’ll learn how to:

  • Access a member’s Regulatory Profile

  • Navigate the different profile sections

  • Understand key regulatory information available

  • Extract the full profile as a PDF

Accessing a Regulatory Profile

To view a Regulatory Profile:

  1. Log into the REG Network.

  2. You will automatically be navigated to your Dashboard page.

  3. Click on the menu tab (3 horizontal lines top left of the screen).

  4. Select My Network > Active connections.

  5. From the Active connections page, click the company name within the connection card to view their details.

You will be navigated to the CONNECTION DETAILS page.

The regulator’s information is displayed in the header and identified by the regulator logo shown above the left-hand menu.

Navigating the Regulatory Profile

To access the regulatory profile select REG intelligence > Regulatory. The regulator’s information is displayed in the header and identified by the regulator logo shown above the left-hand menu.

These sections may include:

  • Authorisation Information
    Verify the firm’s authorisation status, including their current status and any sub-status in effect.

  • Regulatory Activities
    View customer types, investment types and the investment category linked to each regulatory activity.

  • Appointed Representatives (ARs)
    See details of current and previous Appointed Representatives. If the firm itself is an Appointed Representative, the principal firm’s details will also be shown.

  • Approved Persons
    View both current roles and any previous roles held within the firm.

  • Regulators
    Access information relating to the firm’s regulators.

  • Passports
    View the countries where the firm holds passporting rights, including details of the regulated activities permitted in those jurisdictions.

  • Restrictions
    See details of any regulatory restrictions applied, including a description and the date the restriction was imposed.

  • View Full Profile
    Display the complete regulatory profile with all available sections shown on one page.

Note: Some profiles may not contain all sections listed above. For example, if a firm does not hold passporting permissions, the Passports section will not appear in the left-hand menu.

Extracting the Regulatory Profile

To extract the profile data:

  1. Navigate to the tab with the ellipsis menu (three horizontal dots) .

  2. Click Download intelligence data.

  3. A preview of the data available for download will be displayed..

  4. Click to download the full member profile data.

Need More Help?

If you’re unable to access or extract a Regulatory Profile, visit the Knowledge Hub for related guidance or contact Support for further assistance.