Attivo deploys Recordsure AI technology to evidence compliance

What happened?

Attivo, an independent financial advice firm, has implemented Recordsure’s predictive AI technology to enhance its ongoing-advice compliance, support consistent service delivery and reduce the cost of file reviews. The technology analyses Attivo’s data and flags potentially non-compliant cases for human review, freeing skilled staff to concentrate on assessing suitability for higher-risk cases rather than reviewing every document in full.

Recordsure combines AI technology with the regulatory expertise of its sister company, TCC, whose compliance practitioners worked with Attivo to align the solution to its practices. Within the first six months, Attivo reduced first-time unclear suitability ratings to less than 10%, cut cost per case review by 40% on average, and completed over 1,000 file reviews with an average turnaround of two days.

Why does it matter?

The results show that AI-assisted review can support Consumer Duty ongoing-advice obligations without simply adding cost or headcount, provided it is paired with genuine compliance expertise rather than treated as a standalone tool.

Jo French, CEO at Attivo, said the firm now has confidence that 100% of its files have been checked, giving assurance on both quality of outcome and compliance.

Who is affected?

Financial advice firms carrying out ongoing-advice reviews at scale, particularly those balancing the cost of file checking against the need for consistent, evidenced suitability outcomes.

Key risks

Manual, document-by-document file review does not scale as ongoing-advice volumes grow.
Unclear suitability ratings weaken the evidence base firms need for Consumer Duty.
Rising review costs can squeeze the resource available for genuinely high-risk cases.

Actions to take

Assess whether AI-led triage could focus skilled reviewer time on higher-risk cases.
Pair any AI tool with compliance expertise to align it to your firm’s suitability standards.
Track outcome measures such as unclear-rating rates, turnaround time and cost per case.

Wider implications

Joe Norburn, CEO of TCC and Recordsure, said the collaboration demonstrates the real value AI can bring to financial advice firms when it is combined with compliance expertise, rather than deployed as a technology exercise on its own.

Recommendations

Firms considering AI-assisted file review should look for a solution that combines predictive technology with practitioner-led compliance expertise, and measure results against clear metrics such as unclear-rating rates, turnaround time and cost per case.

Supporting sources

Attivo deploys Recordsure AI technology to evidence compliance October 9, 2025

Frequently asked questions

What results did Attivo achieve with Recordsure AI?

Within six months, Attivo reduced first-time unclear suitability ratings to less than 10%, cut cost per case review by 40% on average, and completed over 1,000 file reviews with an average turnaround of two days.

How does Recordsure AI work alongside human reviewers?

It analyses advice data and flags potentially non-compliant cases for human review, allowing skilled staff to focus on assessing suitability for higher-risk cases rather than reviewing every file in full.

Who is behind the Recordsure AI solution?

Recordsure combines AI technology with the regulatory expertise of its sister company, TCC, whose compliance practitioners worked with Attivo to align the solution to its practices.

Wealth Management & Financial AdviceTCC helps wealth managers, financial advisers, networks, platforms and consolidators strengthen compliance, evidence customer outcomes and manage regulatory risk. Every engagement is designed to deliver practical improvements, stronger governance and regulator-ready evidence. For more than 25 years, we have helped FCA-regulated firms navigate regulatory change, supervisory reviews and business growth.