Plans for Everyone

We offer compliance support in conjunction with BAT to offer you the best compliance service.

Get your Price!



  • Type of Firm

  • Number of Advisors

  •  
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  • Full comparison

Starter (per user)

£45/mo

Access to BAT software


  • BAT - Compliance Manager
  • Business Log
  • Turnover Log
  • Financial Exams / T & C
  • Locum Services
More Info

Enterprise

£200/mo

All in one


  • Plus Plan +
  • 20% File Checks
  • Onsite Audits
  • FCA returns
  • FCA Authorisation
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More Info
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Other Services We Provide

This are other services that we can do for you.

Paraplaning

We offer a paraplaning service from writing a report to full paraplanning research, quotes and final delivery, from £40 per hour.

Complaints

We can handle complaints for you, from: FOS, IFAs, providers, etc. We handle the whole process to help you make this right.

File Checks

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.

On-site Audits

We do on-site audits. For most smaller IFAs, this involves one day on site and another filing reports and feedback etc. All auditors are both qualified level 4 and experienced minimum 10 years. 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.

GDPR Suite

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.

Staff

We have at your disposal our hourly rate fees manager, £ 40 per hour for clerical work, and £ 100 per hour for qualified staff work.

Starter Plan

  • What includes?

    This plan includes access to BAT software and many of its tools:

    Client Management Tool, Business log, Turnover log, Commissions report, Financial exams and CPD, Custom Factfind builder, Letter Builder, Task management system and a T&C system with a full suite of exams and training.

  • What is BAT?

    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
    Locum Service provided for firms seeking authorisation, more details click here

  • What do I NOT get access to?

    File checking, compliance support, Gabriel return completion, Enhanced commission rates...

Plus Plan

  • What includes?

    - Access to BAT software and most of 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)

    - 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

    - Gabriel return completion

    - Enhanced commission rates through our panel of lenders and providers

  • What do I NOT get access to?

    - Ongoing File checking, visits and regular deep dive compliance audits.

  • What is BAT?

    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

Enterprise Plan

  • What includes?

    - 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 (Gabriel, 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.

    - Onsite Audits.

    - 20% File Checks.

    - Telephone support service.

    - FCA Returns Gabriel, 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

  • What is BAT?

    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