Audit trails that hold up
Access, changes and retention recorded in a way that answers a question months later, not just at the moment it is asked.
IT for financial advisers.
Continuity, clean audit trails and a provider who can answer a compliance questionnaire without flinching — because the evidence is already gathered.
Audit trails that hold up
You get asked to prove things.
Financial services firms live with scrutiny: from regulators, from networks, from providers and increasingly from clients. Much of it lands on technology — where client data is held, who can reach it, how long records are kept, what happens if systems fail.
Answering well is mostly a matter of preparation. Firms that struggle are rarely doing anything wrong; they simply cannot assemble the evidence quickly, because nobody has been keeping it in one place.
What tends to be at stake.
- Client financial and personal data with strict handling expectations
- Record retention measured in years, not months
- Back-office and planning software the advice process depends on
- Operational resilience questions from networks and providers
- Communications that may need to be captured and retained
How we support firms like yours.
Resilience you can describe
Documented recovery times, tested restores and a continuity position written in plain terms for a questionnaire.
Back-office software support
The planning and administration systems your advice process runs through, supported as part of the service.
Controlled client data
Clear boundaries on who can reach what, with the leavers process actually closed.
Questions we get asked.
Can you complete our network’s due diligence questionnaire?
We can supply the technical evidence and draft the IT answers. Signing it off stays with you, as it should.
How long do you retain records?
Retention is set to your regulatory position, not to a default. We agree the periods with you and configure systems to match.
Do you work with our compliance consultant?
Routinely. It is usually the quickest path to a clean answer, because they know what is being asked and we know what the systems do.
How we get started.
Partnership Review
Thirty minutes with a senior engineer, on a video call.
Written summary
One page you keep, whether or not we ever work together.
One accountable partner
A named partner holds the whole picture: systems, suppliers and security.
Partnership Reviews
Face to face, so recurring problems get removed rather than closed.
Who else we work with.
Accountancy firmsPractice software that cannot fall over in January, client data that cannot leak, and a season when the whole firm works late.Law firmsLEAP, Clio and Proclaim supported properly, confidentiality you can evidence, and the records SRA, Lexcel and GDPR reviews ask for already in order.Healthcare practicesPatient data, clinical systems and the kind of uptime where "we will look at it tomorrow" is not an acceptable answer.No in-house ITTechnology ends up with whoever is most comfortable with it — usually a partner or an office manager who already has a job.
Start with an honest look at where you are.
Thirty minutes with a senior engineer, then a written one-page summary you keep whether or not you ever work with us.
- Twenty to thirty minutesWith a senior engineer, on a video call.
- A written summary you keepOne page, yours whether or not we ever work together.
- No obligationNothing to sign at the end, and no pressure to.