The FCA expect all firms to keep track of their IFAs, protection advisers and Mortgage brokers. 

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All IFAs must also annually certify their details on their professional body systems anway, and must have a Statement of Professional Standards.  These are provided by the Chartered Insurance Institute CII (or rather the Personal Finance Society PFS, who are a division of the same) or the London II or the LIBF and are commonly known as an SPS.

You need an SPS  in order to trade.  However, it is not sufficient to rely on the IFA to self certify.  They may leave, or let you down, and block you from accesss to their records.  Can you prove that they were operating with the correct certifications over all these years?  The FCA expect you to be compliant, which is easy enough, but it is significantly harder to prove compliance with the FCA rules, and BAT provides this certainty with a CPD tracker.


Provide CPD certificates for training attendance in bulk across all advisers in your firm, auto-uploading direct from the training department.

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Receive notification of structured versus unstructured time remaining and required to hit the minimums.  How much CPD do you need structured or unstructured?  See article by our sister company IFAC on this subject. Click here.

The minimum requirement for structured and unstructured is a moot point.  Rules vary and different professional bodies also disagree.   It is an absolute minefield! 

The minimum in any field appears to be the mortgage broker, weighing in at just 15 hours whether structured or unstructured.   However, you would be a fool to take that to be sufficient – it is a minimum only.

If your advisers take one of your exams, on BAT, their CPD time spend on the exam will also be automatically logged in the BAT CPD register. You can set exams, upload the training materials and link the two together.

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.

Watch Peter Hall give a demo and training on the CPD suite here 2.45 minutes

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