In an increasingly complex regulatory environment, firms are under mounting pressure to evidence the delivery of ongoing advice services in a consistent, transparent and compliant way.

At TCC, we understand these challenges because we’ve successfully helped navigate them, at scale and under scrutiny.

One example that underscores this capability is our involvement in a significant remediation programme in Australia, delivered in partnership with Recordsure and KPMG. Initiated as part of the Royal Commission into financial services, this project demanded rigorous oversight, absolute consistency and scalable solutions beyond the limits of manual review.

TCC and Recordsure’s Chief Product and Commercial Officer, Garry Evans, recently explored how this project was transformational, whilst speaking live on-stage at intelliflo’s Innovate 2025.

Proven technology with tangible impact

To successfully deliver this task, TCC’s technology partner Recordsure, played a pivotal role. By automating case assessment using AI-powered technology and surfacing insights from vast volumes of client data, we achieved an exceptional 85% efficiency gain. A programme originally projected to span six years was completed in under one – and at less than half the cost.

The relevance of this outcome extends far beyond its geography. The “no-service” remediation challenge addressed in Australia is strikingly similar to the ongoing advice servicing issues currently facing UK firms. The ability to validate, reconstruct and assess historic servicing activity has become an operational necessity – and a regulatory expectation.

Leveraging data for informed decision-making

Recordsure’s AI technology can analyse servicing records dating back to 2018 (and beyond), aligned with FCA’s recent guidance, to construct a detailed timeline of client interactions.

The process combines intelligent automation with deep compliance expertise. Our specialists at TCC can interpret the AI-generated findings, providing context, validation and regulatory assurance. Where full documentation is available, we go beyond basic checks – evaluating the substance of advice communications to assess both quality and compliance.

The result is a clear, interactive dashboard that gives your firm visibility over historical ongoing advice delivery, actionable insight into gaps or risks and the confidence to demonstrate regulatory adherence.

Move beyond manual reviews

TCC and Recordsure offer a smarter, more efficient way to meet your ongoing servicing obligations- eliminating manual inefficiencies while enhancing oversight and governance.

Ready to strengthen your compliance and streamline your ongoing advice review process? Get in touch with us today to find out how we can help.