BAT Key features download

BAT Software

Compliance management system features

Below is a list of key modules that are provided to minimise the compliance risks:

File checking report for new and review business

Provides capability to effectively file check all new business pre & post-sale, can be configured to target high risk cases, and process and track any remedial work needed through the system. File checks can be requested automatically or manually. We can also provide an outsourced file check service through our compliance partner.


This will help you navigate the whole SM&CR process from onboarding new employees, through annual fit & proper checks to employees leaving the business. Create your very own exams and learning material or we can also provide questionnaires through our compliance partner.

CPD register/analysis

Allows firms to monitor and track your teams CPD hours, storing all your hours and certificate in BAT Software. Get reminders on where you are with you CPD hours for the year.

Online CPD Exams

Allows a firm to create and manage their own online CPD Exams, set the pass rate, get analysis and reminders for your staff. We can also provide questionnaires through our compliance partner.

Complaints Register

Provides a complete register of all complaints and where they are in the process with reporting.

Breach Register

The breach register stores all breaches securely and can be reviewed when and if required.

Financial Promotions

Financial promotions are ‘an invitation or inducement to engage in investment activity, communicated by a person in the course of business. This is another way of getting your compliance dept to check these activities and store the information securely. Have your compliance dept to check the financial promotions before they are issued.

Audit report/Analysis

When completing a compliance Audit on the business or adviser(s), have the analysis report at the touch of a button. This enable you to track how the business/adviser are behaving. See more here

Custom Registers

Get away from spreadsheets and create your very own registers in a secure system, with permissions to share with your wider team or keep to yourself. see more here

Document Folders

Create your very own document folder in a secure system with permissions to share with your wider team or keep to yourself.

Advice Cases

Designed for Mortgage & Protection advisers, speed up the advice process. With integrates with research tools iPipeline and Twenty7tec. Automates the Suitability Report. See more here

Cashflow tool

Basis cashflow modelling tool, helps businesses forecast their cash inflows and outflows over a specific period. These tools are essential for financial planning, budgeting, and decision-making.

New Business Register

Log your new business on the register, allows you to download and upload information. The New Business Register also works in conjunction with automating File Checks.


Log your Fees/remuneration within a secure system. BAT Software works on what has been received. The system also allows you to download or view the RegData for FCA reporting.

HR Intranet

Streamlines HR processes, enhances communication between HR and employees, and empowers employees to manage their own HR-related tasks more efficiently.

Client Portal

This is secure online platform that allows businesses to interact and collaborate with their clients in a centralized digital environment. Send secure messages & documentation.

Custom E-Fact Find

Customising your very own fact find tailoring the questionnaire to gather information about a client’s financial situation, goals, and preferences to fit the specific needs and circumstances of the client or the business.


By customising workflows to suit the specific needs and objectives of your business, you can enhance efficiency, productivity, and overall performance while effectively adapting to evolving requirements and challenges. click for more

Activities/Task Management

The process of organising, planning, prioritising, and tracking tasks or activities to be completed within a project, team, or individual workflow. Actionable tasks, assigning responsibilities, setting deadlines, and monitoring progress to ensure that tasks are completed efficiently and effectively.

Client Management

Maintain your client data in the BAT Software, with auto sanction checking, ID verification and client vulnerability. Set client review dates for reminders.

Income reconciliation

BAT matches expected income to actual received income, with bulk uploads of data freely available to marry up the new business register to the turnover sheets.  Use CSV upload, and we can arrange to convert your pdf and paper documents into CSV for upload to BAT.  This provides a reconciliation report.


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