Software for financial services firms
Client files sit in shared folders. Every client is checked against the TFS list by hand, every month. The compliance documents for each deal are put together manually, and nobody can see a client’s full portfolio at a glance. We build advice firms a CRM that holds the client file, automates TFS screening and produces the compliance documents for each deal.
The results
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A complete client file
Details, products, history and documents sit on one record the whole team can see.
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Faster onboarding
Each new client moves through your own stages, with tasks and emails sent at each one.
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Compliance on record
Clients are screened automatically against the current TFS list, and the compliance documents for each deal come from the client record.
What we build
- 01
Client records and files
A single record for every client
- Details, portfolio and history on one record
- Documents filed to the client as they arrive
- A checklist that shows what is outstanding
- 02
Onboarding and new business
From first meeting to onboarded client
- Your own stages, from first meeting to signed
- Tasks and emails sent at each stage
- The owner and next step on every deal
- 03
Compliance and TFS screening
The record your compliance officer needs
- Compliance documents for each deal produced from the client record
- Clients screened automatically against the current targeted financial sanctions (TFS) list, or the sanctions lists that apply in the UK
- Every check saved to the client’s file
- 04
Integrations
Connected to your back office and platforms
- A single login for advisers and staff
- Connected to your back office, product platforms and website
- Data held in your accounts, exportable at any time
Why firms choose us
We built the platform Finplanning, an independent practice in South Africa, runs on. We know how an advice firm’s week runs.
Each firm gets its own build, set up around its own stages and checklists.
Compliance judgement stays with your compliance officer. The platform gathers the evidence and keeps the record.
How an engagement starts
The review has a fixed fee, which comes off the work if you go ahead. We discuss the cost on the first call.
- 1
The review
For a financial services firm, the review follows a client from first meeting to onboarded. It looks at where records and files are kept, how new business moves and what your compliance officer has to chase. You get a written plan setting out what to do first and what to leave alone.
- 2
The build
We build what the review recommends, connect it to the tools you already use and train your team.
- 3
Ongoing support
A monthly plan covers hosting, support and improvements. Once one part is working well, we move on to the next.
Regulation
For firms directly authorised by the FCA. Sanctions checks and reports are saved to the client’s file. Whether a file meets the FCA’s rules is for your compliance consultant to judge. Client data is handled under a UK GDPR processing agreement, signed before we handle any data.
For owner-run, independent FSPs. Onboarding documents are collected with FICA in mind, and clients are screened against the TFS list with the result saved to their file. Whether a file meets the FAIS General Code of Conduct is for your compliance officer to judge. Client data is handled under a POPIA operator agreement, signed before we handle any data.
Common questions
01.Is this an off-the-shelf product?
No. Each firm gets its own platform, set up around its own stages and checklists and based on what we built for Finplanning.
02.Do we have to replace our back office or platforms?
No. The platform connects to your back office and product platforms. Nothing has to be replaced.
03.What is TFS screening?
Firms that are accountable institutions under South Africa’s FIC Act must check clients against the targeted financial sanctions list. The platform runs the check and saves the result to the client’s file.
04.Are you a compliance firm?
No. We are not authorised by the FCA, and we are not an FSP or a compliance officer in South Africa. The platform produces reports and keeps records. Whether a file is compliant is for your compliance officer or consultant to judge.
05.Where is client data kept?
In accounts you own, under a UK GDPR processing agreement or a POPIA operator agreement, signed before any data moves.
Start with a review
Tell us where your team’s time goes. We will tell you what is worth building, and what an off-the-shelf app already does.