Related topic: Compliance

Powered by Curvestone AI, the capability goes live with TMG and Connect Mortgages among the first to deploy it.

The new feature enables advisers to carry out passport and driving licence checks in minutes from their phone.

Samantha will support advisers in meeting regulatory requirements, conduct audits and reviews, and coach and monitor individuals.

The brokerage has introduced a new quality and compliance supervision team to elevate adviser support and safeguards.

Sue will be responsible for ensuring all advisers and relevant staff are properly qualified, skilled, and competent.

The audit trail creates a tamper-resistant "golden record" of the advice journey, ensuring that firms are always audit-ready without the need for manual archiving.

Firms are being urged to review their systems as new guidance sets the standard for customer vulnerability management.

Pivotal will adopt the AI-powered technology to implement audit-ready client file reviews.

The new solution aims to support compliance with a single, integrated platform.

Earlier this month, SmartSearch integrated with Iress to streamline AML compliance for advisers.