For regulatory bodies committed to regulatory excellence, Helsby Drake is the most secure and trusted full-service software solutions partner.

Regulatory Solution Components

Regulatory Solution Components

We provide our regulatory partners with a best-of-breed solution that is tailored to support key business processes, breeding regulatory excellence at every level.

Modern Online Portals

Helsby Drake offers a complete set of online portals for applicants, registrants, stakeholders and the public built upon modern web technology such as AngularJS, HTML5 and utilizing Responsive Design. As such, our online applications are fast, user friendly and work on any device.

Complaints and Discipline Management

Helsby Drake offers a complete complaints and discipline management feature that tracks and manages all incoming complaints, evidence, witnesses, investigators, statutory dates and correspondence during the investigation stage through to various levels of hearings along with the tracking of their respective outcomes.

Quality Assurance

If you are auditing your registrants, using peer assessment or other program, Helsby Drake Quality Assurance capabilities provides you with everything you need to do this effectively and efficiently.

Invoicing and Revenue

Helsby Drake is integrated with every major payment provider. Our system provides a complete invoicing and receipting capability for online payment that processes directly to your payment provider of choice electronically.

Continuing Competence / CE / CPD

CC/CE/CPD/CEPD, Portfolio, Goals, Activities, SAQs - there are many variations employed out there. Fortunately, we support them all. Being a leading provider means we already have a module that's right for you.

Reporting and Analytics

Thanks to the power of Helsby Drake reporting and analytics engine, your data is turned into rich visuals for clear and accurate reporting in real-time. Staying on top of your data and what it means, is easier than ever by breaking down member information into easily consumable visual charts.

Email Messaging and Schedule Module

Increase engagement with all of your stakeholders through Helsby Drake’s email messaging and scheduling capabilities.


Our registration capabilities provide everything you need to track applicants, registrants, facilities, places of business, education, registrations with other bodies, examinations... And so much more!

Drag & Drop Everything

Our system is very customizable. Everything can be changed, relabeled with an easy drag-and-drop interface. You can easily create new forms, update existing ones, add dashboards, charts, graphs - immediately!

Highest Level of Data Security

Our Security Regime is unparalleled in the regulatory industry because we serve major international financial and government institutions in addition to regulatory bodies. We are compliant with ISO 27001. 

Solution Process

Solution Process

At Helsby Drake, we believe in creating a lasting relationship with our clients.  That’s why we are present for the entire journey – from project initiation all the way through post implementation customer service. In that spirit, a dedicated project manager will always be directly involved with you, so you don’t have to completely memorize our process to be an integral part of it.  We want to ensure that our clients are always kept up to speed and actively involved in the overall process. 

  • 1. Expert Review of all Applicable Regulations and Bylaws

    An MSA (Master Service Agreement) is signed, with the general requirements outlined. Afterwards, our regulatory experts review all applicable regulations and bylaws and produce a first draft of the Statement of Work (SOW) - ensuring that all areas of required compliance are fully supported. The SOW is sent to clients a week before workshops begin to aid in preparation. We, ourselves, make sure that we are up to date with all the relevant bylaws and legislation so that we can ensure everyone is ready to begin the project.

  • 2. Workshops to Uncover and Optimize Business Processes

    As part of our process we will review your current regulatory process and suggest improvements; this process re-engineering and operational review is what we believe is our biggest differentiation. We want to ensure that we understand your business processes perfectly. This is all part of Helsby Drake’s RPIP (Regulatory Process Improvement Program). We then work with key stakeholders from all departments in a workshop setting to review and discuss the SOW. We discuss actual business cases to discover new benefits. Underlying business processes are reviewed and discussed in relation to system capabilities. Through this process, required solution components are identified, documented and prioritized so that a final SOW can be produced. We work intimately with all of our clients to ensure that the final SOW accurately represents all of their needs.

  • 3. Active Interaction with Beta Release to Finalize Requirements

    A project plan is created and calibrated for speed based upon a pace that works for each individual client we work with. A beta release is then created based upon the SOW and used to facilitate real-world reviews of each solution component so that final requirements can be locked down and signed off. This beta review process ensures that clients fully understand the functionality of the software. The client then reviews the solution components and provides feedback for further modification. Those modifications are then implemented by the Helsby Drake team. We repeat this process until the software is fully tailored to the needs of the client.

  • 4. Finalize Solution Configurations and Deploy

    We utilize a SCRUM methodology and modular releases to minimize project risk and maximize team engagement. Engagement is incredibly important to us – at every stage of implementation. Regulatory staff from all departments are fully employed in user acceptance testing of all solution components before the final build is promoted to a production environment and ready for launch. Post launch, we support all of our clients throughout their use of their new system to ensure their continued satisfaction.

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