This are other services that we can do for you.
We can handle complaints for you, from: FOS, IFAs, providers, etc. We handle the whole process to help you make this right.
Our file checkers have a minimum of 10 year's industry experience to qualify. Their experience should be compliance-based, but with some retail sales experience as well.
An annual audit is part of our member service, and for FCA authorised businesses this annual audit is a minimum requirement, alongside an external file checking rota.
Due to European regulations on privacy it is important to keep your data up to date, with BAT you have the tool that allows you to manage this for your clients.
We have at your disposal our hourly rate fees manager, £ 40 per hour for clerical work, and £ 100 per hour for qualified staff work.
CMS (Client Management System), Business log, Turnover log, Commissions report, Financial exams and CPD, Custom Factfind builder, Letter Builder, Task management system, Document library, Suitability reports and Research (Defaqto, Twenty7tec, Solution Builder)
- Complaint handling - including opinion and basic report writing, up to FOS referral.
- Finance Director support - eg ICAAP, ILA, Pillar 3 statements and Risk statements in annual reports.
- Compliance support
- Reg-Data return completion
- Enhanced commission rates through our panel of lenders and providers
- Ongoing File checking, visits and regular deep dive compliance audits.
BAT is a compliance software designed to help you maintain total control over your customers, businesses and turnover. BAT has many tools that help advisers save a lot of time and therefore money. You can find all the information about BAT on its official website batsoftware.co.uk
- Access to BAT software and all its tools:
CMS (Client Management System), Business log, Turnover log, Commissions report, Financial exams and CPD, Custom Factfind builder, Letter Builder, Task management system, Document library, Suitability reports and Research (Defaqto, Twenty7tec, Solution Builder), File checks and FCA return reports (Reg-Data, Chrysalis).
- Complaint handling - including opinion and basic report writing, up to FOS referral.
- Finance Director support - eg ICAAP, ILA, Pillar 3 statements and Risk statements in annual reports.
- Annual Audits.
- 10% File Checks.
- Telephone support service.
- FCA Returns Reg-Data, Connect AND Chrysallis all sorted and completed on your behalf.
- T&C per employee including 121's, role plays /accompanied visits / training. Including the Financial Exam system.
- Full FCA authorisation achieved for firm including permission changes.
- Enhanced commission rates through our panel of lenders and providers
BAT is a compliance software designed to help you maintain total control over your customers, businesses and turnover. BAT has many tools that help advisers save a lot of time and therefore money. You can find all the information about BAT on its official website batsoftware.co.uk