Model Office launches compliance diary system

Draws on expert advice

clock • 1 min read

Regulatory technology and digital audit platform Model Office have launched an automated action planning and compliance diary system in a bid to streamline governance, risk and compliance activities for advisers.

The Action Tracker ensures advisers act on high risk and mandatory areas of compliance by ranking the system's compliance diagnostic questions according to a red amber green (RAG) rating. Model Office founder Chris Davies said: "The Action Tracker will ensure adviser firms gain automated action plans, keep focused on the high regulatory risk areas they face, gain dashboards to evidence compliance activity, allocate responsibility for SM&CR compliance plus gain auto-alerts via a compliance calendar integration ensuring firms have all the information they need to continue to comply and com...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Your profession

The paradox of invisible value: How to ensure clients recognise the power of advice in volatile times

The paradox of invisible value: How to ensure clients recognise the power of advice in volatile times

'Investing is not just a technical exercise; it’s an emotional one'

Kate Rainbow
clock 03 August 2026 • 4 min read
The Platforms Association acquires the UK Platform Awards

The Platforms Association acquires the UK Platform Awards

Clive Waller hands over the awards programme

Isabel Baxter
clock 30 July 2026 • 2 min read
FCA bereavement survey sent to just 12 firms – 'A very small dip in the ocean'

FCA bereavement survey sent to just 12 firms – 'A very small dip in the ocean'

Covers advisers, platforms and wealth managers

Sophia Panayi
clock 30 July 2026 • 3 min read