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Compliance file review

Scrutineer

Every file reviewed. Every time. In minutes. Review a compliance file in minutes instead of half a day, and get 10.5 hours a month back per adviser.

See it in a demoPricing
£99 per adviser / month on its own£299 for all six appsCancel monthly
The problem it takes on

Review a compliance file.

Compliance file reviews take half a day of a manager's time, so most firms review a sample of files and leave the rest unchecked. The risk in the back book is real and nobody has the hours to find it.

TodayHalf a day

Per file, done by hand.

With ScrutineerMinutes

10.5 hours a month back, per adviser.

How it works

Three steps. No new platform.

1

Drag the client folder in

Scrutineer reads every document in every subfolder. Scanned documents are OCR'd. Meeting recordings are transcribed on your device, not sent to a third party.

2

Two scores and a verdict

FCA compliance and your own file-quality standard, each out of 100, with a Suitable / Unclear / Unsuitable verdict and section scores across AML, communications, risk, service, suitability and client information.

3

Findings tied to rules, with the evidence

Each finding names the FCA rule and quotes the passage behind it. An outstanding-actions checklist and a missing-documents list come with every review.

What comes out

Judge the output, not the pitch.

An illustrative example of what Scrutineer produces. Every figure and finding in the real thing links back to its source.

What's included

  • Two headline scores and a suitability verdict
  • Section scores: AML refresh, communication records, risk reassessment, service delivery, suitability confirmation, client information
  • Findings mapped to named FCA rules with quoted evidence
  • Reads scanned documents via OCR; transcribes meeting recordings on-device
  • Year-on-year file comparison
  • Flags incomplete folder reads rather than guessing
  • Outstanding actions and missing-document checklists
  • FCA Handbook lookup
  • Learns from your firm's own benchmark scores
  • Encrypted sync for multiple reviewers

Who it's for

Compliance managers and directors who want 100% coverage of the back book; networks and firms preparing for a file review by a consultant or the regulator.

Works with

Client folders of PDFs, scans and recordings on your own machine.

The other five

Each app takes one job.

Annual client reviewsStrataThe annual review, written for you.£89per adviser / monthClient documentsCarbonFrom conversation to client-ready paperwork.£69per adviser / monthMeeting intelligenceAscltoYour client meetings, finally reviewed.£59per adviser / monthSavings adviceReckonerA market-checked savings recommendation in minutes.£69per adviser / monthAdviser assessmentFreeboardCompetency, scored against a standard.£49per adviser / month

See it before you decide.

Twenty minutes on Teams with Adam Booth, walking through the apps on a demo firm with its own clients, meetings and files. Nothing to prepare.

Book the 20-minute demoSee pricing