Regulatory assurance for financial services
Turn regulatory obligations into evidence-led assurance.
Cerylis gives regulated firms a structured way to assess regulatory requirements, gather evidence, challenge conclusions, track remediation and demonstrate oversight — in one auditable workflow.
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Built for compliance teams that need to evidence how conclusions were reached — not simply record that a review took place.
Regulatory Assurance Workspace
Enterprise assurance • Active review
ASSURANCE
Requirement
Controls
Evidence
Challenge
Remediation
Consumer Duty / Consumer Support / Outcome monitoring
Customers receive appropriate support throughout the product lifecycle
Connected to accountable owners, monitoring evidence, assessment conclusions and second-line review.
Under review
Assurance record
Evidence attached
Customer-support outcome testing
1st Line owner: Customer Operations • Reviewed
Vulnerable-customer MI review
2nd Line owner: Conduct Risk • Feedback requested
The challenge
Critical regulatory assurance still lives across disconnected tools.
Evidence, governance, remediation and reporting are too often assembled across separate systems — making scrutiny slower and accountability harder to demonstrate.
Traditional
Regulation → Excel → SharePoint → Email → Word → Sign-off
Cerylis
Requirement → Evidence → Assessment → Challenge → Remediation → Approval
01
Fragmented Evidence
Policies, testing and management information sit apart from the conclusion they support.
02
Manual Governance
Ownership, review and approval depend on email chains and document versions.
03
Difficult Remediation
Findings become detached from the assessment, owners and evidence of closure.
04
Year-End Reporting
Teams reconstruct assurance activity instead of reporting from a live record.
One assurance platform
The same governance model across different regulatory obligations.
Requirements, applicability, evidence, assessment, challenge, remediation and sign-off remain connected in one auditable record.
01
Requirement
02
Applicability
03
Evidence
04
Assessment
05
Challenge
06
Remediation
07
Sign-off
Regulatory solutions
Specialist assurance workflows for specific regulatory obligations.
Consumer Duty
Evidence customer outcomes throughout the year.
Product governance, Fair Value, Consumer Understanding, Consumer Support, monitoring, testing, remediation and Board reporting.
Financial Promotions
Govern promotions from submission to publication.
Intake, review, Compliance challenge, version control, approval and live monitoring.
MiFID II RTS 6
Run the annual self-assessment as an assurance process.
Requirement and algorithm assessment, controls, evidence, challenge and remediation.
FX Global Code
Manage adherence in one structured workflow.
All 55 principles, applicability, controls, evidence, challenge, remediation and Statement of Commitment support.
Built for how assurance actually works
The business owns the answer. Compliance challenges it.
1st Line
Assessment and evidence
The business documents its conclusion, rationale, controls and supporting evidence.
2nd Line
Review, challenge and sign-off
Compliance tests the conclusion, requests further evidence and records its decision.
3rd Line
Independent visibility
Internal Audit can follow the evidence trail, challenge history and remediation status.
Auditability by design
Every conclusion has a history.
Regulatory requirement → Control → Evidence → Narrative → Compliance challenge → Business response → Decision → Remediation → Closure
One connected evidence trail
Reviewers can see what changed, who challenged it, how the business responded and when remediation was closed.
Governed intelligence
AI-assisted. Expert-controlled.
Evidence review, gap identification, assessment drafting and consistency checks can support regulatory judgement. AI does not replace accountable human review.
Within the workflow, AI can assist with analysing supplied evidence, comparing it with regulatory requirements, highlighting potential gaps, supporting control mapping and drafting assessment narratives for expert review.
• Reviewing evidence against requirements
• Identifying gaps and mapping controls
• Drafting assessment narratives for expert review
Built from first-hand compliance experience
Designed around how regulated firms actually evidence assurance.
Cerylis combines specialist regulatory workflows with one reusable platform for evidence, challenge, remediation and sign-off. Meet the team on the About page.
Security
Designed for regulated workflows.
Role-based access, controlled evidence, encryption, audit history and governed AI support the accountability expected in regulated environments.
Role-based access and accountable ownership
Clear audit history across evidence, challenge and approval
Human oversight for AI-assisted workflows
Flexible deployment and data governance options
See the product
See what regulatory assurance looks like when the evidence, challenge and decision live together.
Book a focused 30-minute walkthrough of the Cerylis assurance workflow.