The Lodestar FS Platform

Compliance checking that works the way you do.

Upload your adviser calls and case files. Define your own compliance rules. The platform checks everything and shows you exactly where the issues are.

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The compliance gap

Most firms review files after it's too late.

Most firms rely on manual file reviews — sampling a fraction of cases, often weeks after completion. It's a model built for a different era.

The reality is that compliance issues compound. A suitability gap missed on Monday becomes an FCA concern by Friday. A documentation oversight on one case becomes a pattern across twenty. By the time your file reviews catch it, the damage is done.

Lodestar FS closes this gap by letting you check every file against rules you define — not a rigid, one-size-fits-all template.

Capabilities

What the platform does.

Upload calls and documents

Upload your adviser files into the platform

Upload telephone calls and case documents — individually or in bulk. The system accepts audio files and documents, fitting around however your firm currently works. No changes to your advisers' workflow.

Activity FeedLive
14:32Thompson — Suitability letter uploaded. 4 rules checked. All clear.
14:28Patel — Call recording uploaded. 3 rules triggered.
14:15Chen — Protection needs analysis uploaded. All clear.
14:03O'Brien — Call recording and case docs uploaded. Checks running.
13:51Mitchell — Missing ID verification flagged by document check.
⚠ Rule Triggered

Suitability letter does not reference client's stated priority

The client stated on their call at 04:32 that their primary objective is minimising monthly payments. The suitability letter recommends a fixed-rate product but does not explain why this aligns with that objective. Cross-referenced between call recording and suitability letter.

File: Patel — First Time BuyerAdviser: S. WilliamsFlagged: 2 min ago
Custom compliance rules

You define what gets checked

This is where Lodestar FS is different. You define the rules. Check whether advisers mentioned specific things they should have said. Flag things they shouldn't have said. Cross-reference what was discussed on a call against what's documented in the suitability letter. Surface general enquiries that need follow-up. Fully customisable, completely under your control.

Case manager dashboard

One view of every active case

Your case managers get a single view of every active case and its compliance status. No more digging through CRMs or chasing advisers for updates. Issues are surfaced proactively, ranked by severity, and trackable through to resolution.

0
Active cases
0
Open issues
0.0%
Compliance rate
Mortgage files96.2% clear
Protection files99.1% clear
Issues resolved within 24hr89% clear
Audit Trail — Patel File
Mar 6, 14:28Issue detected — Suitability gap identified in advice recordFlagged
Mar 6, 14:32Case manager notified — Alert sent to L. Cooper
Mar 6, 15:10Adviser contacted — S. Williams asked to revise suitability letterIn review
Mar 6, 16:45File updated — Revised suitability letter uploaded and reviewedResolved
Audit-ready reporting

A systematic answer, not a spreadsheet

Every flag, review, and resolution is logged. When the FCA or your network asks how you monitor compliance, you have a clear, systematic answer — with a full audit trail to back it up.

Integration

Fits your existing workflow.

The platform is designed to work alongside your current systems. Your advisers don't need to change anything about how they work — you simply upload the calls and documents once they're available, and the platform does the rest.

Your CRM
Sourcing
Email
Telephony

See the platform in action.

Book a 30-minute demo — we'll use your real workflow, not a generic presentation.

Book a Demo