Compliance
Automate your compliance with our purpose-built Compliance Manager. Utilise our File and Promotion checking tools or structure your training and exams with our industry leading SM&CR tool.
£50
per user per month
REG Data
Provides the functionality to manage, maintain and provide all necessary regulatory data to meet compliance obligations.
Filecheck
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.
Promotion check
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.
Audits
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.
Document Storage
Create your very own document folder in a secure system with permissions to share with your wider team or keep to yourself. Manage and upload/download all relevant document with BAT.
SM&CR
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.
Table of Contents
Book a Demo
Fill out the form to schedule a demonstration at your convenience.
This demo will showcase the key functionalities of BAT Compliance Manager and BAT CRM-PRO or CRM-Lite.
Additional Free Trial Available
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