Introducing the New Compliance Module
The Compliance module brings together the tools firms need to manage, monitor and record their compliance activity.
From File Checks and AI analysis to Audits, Financial Promotions and Breach Registers, the new module provides a central place for managing your firm's compliance processes.
With the redesigned BAT 3.0 interface, these tools will be easier to access, with clearer navigation and improved visibility across compliance activity.
A Clearer View of Compliance
The redesigned Compliance dashboard provides a central starting point for managing your firm's compliance activity.
Access your key compliance tools, navigate between different areas and identify activity requiring attention from one place.
Preview of the new Compliance dashboard
Your File Checking Activity in One Place
The File Checking section provides a central overview of your firm's file checking activity.
Users can view the current file checking queue, see which cases are being reviewed and follow the progress of their files.
The section also provides access to BAT's AI File Checker, alongside the review forms used by compliance officers and file checkers.
File Checking queue and AI File Checker
Structured File Reviews
Compliance officers and file checkers can use BAT's review forms to assess advice files and record their findings in a consistent, structured format.
These reviews help firms maintain visibility of file checking outcomes, identify areas requiring further attention and maintain a record of the review process.
Preview of the File Checking review form
Coming Soon: Further File Review Improvements
We're also working on a newer version of the File Review tool. This will be introduced after the initial BAT 3.0 release, as we continue improving the experience for compliance officers and file checkers.
More Than File Checking
The Compliance module includes several additional tools to help firms manage their wider compliance responsibilities.
Company Audits
Record and manage your company's compliance audits, maintaining a central record of audit activity and findings.
Financial Promotions
Review and record financial promotions through a dedicated assessment process, helping firms maintain oversight of promotional material.
Breach Registers
Log and maintain records of compliance breaches, keeping important information organised and available for review.
Compliance Reporting
Access compliance information and reporting to support management oversight and monitoring across the firm.
Managing Financial Promotions Reviews
BAT's Financial Promotions tool provides a dedicated area to assess and document promotional material.
Firms can record their reviews and maintain a central record of financial promotions activity, supporting a more structured review process.
Preview of the Financial Promotions review form
Keep Your Breach Records Organised
The Breach Register provides a central location to document compliance breaches and maintain a record of reported issues.
Bringing breach records into BAT helps compliance teams maintain visibility of important information without relying on separate spreadsheets or disconnected systems.
Preview of the Breach Register
The Best Part? Everything Connects.
One of our main goals with BAT 3.0 is to make compliance information work together across the platform.
Rather than keeping important records isolated in individual modules, we're developing closer connections between compliance activity, adviser competence and reporting.
Adviser File Checking Scores
Reporting will bring together file checking outcomes and scores, providing clearer insight into individual adviser performance.
Connected CAS Records
Complaints will feed into the relevant adviser's Competent Adviser Status record, supporting a more complete overview of individual adviser competence.
Firmwide Risk Reporting
Automated risk reporting will bring together information from different areas of BAT, supporting a clearer view of risk across the organisation.
Connected Information
Compliance activity will become more closely connected with other BAT modules, helping reduce duplicated work and improve visibility.
Part of Our Ongoing Development
These deeper connections and automated reporting capabilities form part of our ongoing development plans. We'll continue introducing them following the BAT 3.0 launch, with further updates as they become available.
A More Connected Approach to Compliance
The new Compliance module is designed to make everyday compliance management clearer and more accessible.
By bringing essential tools together and connecting information across BAT, we aim to reduce duplicated work, improve visibility and make it easier for firms to manage their compliance responsibilities.
Our long-term goal is to make BAT a central source of information for compliance teams, management and advisers.
What's Next?
The redesigned Compliance module will be available as part of the BAT 3.0 launch on Monday 9 November 2026.
Tomorrow, we'll conclude our 5 Days, 5 Modules series with a final look at the improvements coming to BAT.
Keep an eye on your inbox for the final update.