At intelliflo’s innovate 2025, a number of presenters took to the stage, including Recordsure’s Chief Product and Commercial Officer, Garry Evans.
Garry shared the message that firms who embrace AI today won’t just keep up with regulatory demands – they’ll set the standard for tomorrow’s best practice. That means being able to demonstrate their ongoing advice services with evidence and ensuring alignment with each client’s evolving needs.
Jason Wintie, Strategic Regulatory Director at our compliance partner TCC Group, also took to the stage to contextualise the regulator’s concerns about how ongoing advice is delivered across the industry. Jason opened the session by explaining that the FCA’s concerns around ongoing advice aren’t new. For years, the regulator has warned against clients paying for services they might not actually receive. But in early 2024, things escalated.
Deliver ongoing advice compliantly
This culminated in the FCA’s recent actions, including data requests and suitability assessments across major advice firms, which have brought this issue to the forefront. For many, it has exposed weaknesses in their ability to track, document and quality-assure ongoing services. However, amid the pressure lies a significant opportunity – one that’s being unlocked by AI.
After Jason’s regulatory walkthrough, Claire Bell from Attivo took to the stage to spotlight just that. Claire shared how her organisation has approached these challenges internally with the power of Recordsure. Her message was that change is possible, but it requires focus, leadership and a genuine willingness to evolve.
Unlock the power of AI
At Recordsure, we believe that the future of ongoing advice lies in predictive AI. Rather than relying on manual reviews or diary reminders, firms can harness intelligent automation to flag incomplete reviews, identify potential compliance gaps and highlight areas where client data needs updating before it becomes a regulatory issue.
Satisfy the regulator
This goes beyond efficiency. It’s about transforming how firms manage risk, advise clients and satisfy the regulator all at once. Recordsure AI complements human judgment by surfacing the right insights at the right time, enabling advisers to make faster, more confident decisions. From improving governance reporting to identifying gaps in service delivery, the benefits of AI-driven advice oversight are already being realised by forward-thinking firms.
Futureproof your advice services
The FCA’s expectations are rising, but so too are the tools available to meet them. Now is the time to evolve from reactive processes to proactive intelligence. Let Recordsure show you how AI can make that shift real.
