BAT Software is a ground breaking UK RegTech company providing a centralised compliance platform designed specifically for financial advice and wealth management firms.
The platform brings essential compliance processes into one secure system, helping firms replace disconnected spreadsheets, documents and manual workflows with consistent, auditable oversight.
BAT’s AI assisted file checking enables firms to review advice cases more efficiently, identify missing information earlier and assess data completeness, suitability, affordability and advice quality. Firms can use an initial pre sale completeness check or undertake a more detailed full suitability review, supporting the move towards checking up to 100% of advice cases.
BAT Auto Data Transfer extracts information directly from uploaded client documents, reducing repetitive data entry and helping populate client records, new business registers, fact finds and suitability documentation.
The wider platform supports compliance workflows, complaints and breach registers, SM&CR, Training and Competence, CAS, CPD, management information and enterprise level reporting. Integration with systems such as Intelliflo Office helps firms connect compliance activity with their existing client and business data.
Built around the operational realities of regulated advice firms, BAT Software helps compliance teams improve consistency, increase capacity and maintain a clear audit trail across the business.
Our objective is simple: to make high quality compliance oversight faster, more scalable and easier to evidence.
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