BAT Guides
Practical guides for financial advice firms covering compliance, FCA expectations, file checking, audit trails, AI tools and adviser workflows.
How IFA Firms Can Scale Without Losing Compliance Control
How IFA Firms Can Scale Without Losing Compliance Control Growth, systems and compliance control How IFA Firms Can Scale Without Losing Compliance Control Retail financial
How to reduce admin in financial advice firms
Financial advice administration & compliance How to Reduce Admin in Financial Advice Firms How one system for three advisers could save a business £50k by
How compliance managers can reduce manual file review work
How Compliance Managers Can Reduce Manual File Review Work | BAT Software AI file checking and compliance management How Compliance Managers Can Reduce Manual File
Implementing an AI Compliance Framework After the Mills Review
Implementing an AI Compliance Framework After the Mills Review | BAT Software AI governance, FCA compliance and operational resilience Practical Guide: Implementing an AI Compliance
How can advice firms evidence consumer duty outcomes?
How Can Advice Firms Evidence Consumer Duty Outcomes FCA compliance and Consumer Duty How can Advice Firms Evidence Consumer Duty Outcomes FCA Consumer Duty Reporting
What Should Be Checked in an FCA Advice File?
FCA compliance and advice file checking FCA File Checking: What Should Be Reviewed in an Advice File? FCA Consumer Duty Suitability AI file checking In