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.
Get started now!
TRY BAT
FOR FREE
30 day free trial
No credit card required
Every firm in retail financial services requires an external compliance audit on a regular basis – probably annually. FCA RULE SYS 6.1.3 https://www.handbook.fca.org.uk/handbook/SYSC/6/1.html
makes this quite plain. In fact, ignoring this rule could be taken to be reckless, which when related to retail financial services, and “selling” in particular is likely to be considered a criminal offence.
CUSTOMISATION IS KEY
BAT audits are editable, so that compliance organisations and departments can edit for their own purposes. See in the video below the number of different audits that you can apply on situations, and once loaded onto the system.
And see here the various workflows that you apply to the situation.
The arrows show that this is an auditor’s dream.
The workflow allows for scoring, attachments, commentary, feedback and of couse secure messaging and a long term record keeping facility.
Without the reporting tool you will not be able to demonstrate to counterparties, such as buyers, suppliers, providers, lenders, FCA and advisers that you are meeting the required standards.
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
24/7 Online Support
No credit card required