FCA-Regulated Asset Manager Builds React Code App Compliance Management Platform
An FCA-regulated UK asset manager replaced manual compliance monitoring across 14 regulatory frameworks with a React/TypeScript Power Apps Code App, reducing compliance breaches by 91% and cutting regulatory reporting time by 70%.
The Challenge
The asset manager was managing FCA compliance obligations, GDPR controls, MiFID II reporting, and 11 additional regulatory frameworks across spreadsheets and shared email. Compliance officers spent 45 hours per week on manual control testing and evidence gathering. Three near-miss regulatory breaches in 18 months (including one FCA supervisory letter) made the board mandate a technology solution with a 90-day implementation deadline.
Our Solution
We built a bespoke compliance management platform as a Power Apps Code App using React and TypeScript, providing the sophisticated UI and workflow complexity that canvas apps cannot support. The platform covers control testing scheduling and evidence capture, regulatory obligation mapping, breach tracking and escalation, Board reporting pack generation, and FCA submission preparation. Dataverse provides the auditable data layer with full version history. Power BI delivers the Board Risk Dashboard. Power Automate drives control testing reminders, breach escalation, and regulatory calendar alerts.
Key Outcomes
91% reduction
Compliance Breaches
Near-miss and actual breach rate drops from 3 per year to 0.3
70% reduction
Regulatory Reporting Time
Board pack and FCA submission preparation time cut dramatically
45 hrs → 12 hrs/week
Manual Control Testing
Automated scheduling and evidence capture drives efficiency
100%
FCA Audit Readiness
Full evidence trail available instantly for regulatory review
Technologies Used
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