FCA Compliance Consultants : Haven Risk Management

We are FCA compliance consultants specialising in the provision of support services to firms which are authorised and regulated by the FCA. Our clients range from individuals to multi-nationals and include IFAs, friendly societies, stockbrokers and investment managers.

FCA compliance is the basis of our service.

FCA Compliance Services

FCA Compliance Manual

Anti Money Laundering

Complaints Handling

We make sure your regulatory responsibilities are fulfilled while you concentrate on looking after your clients and running your business. We watch your back.

We cover all aspects of the FCA compliance process and are market leaders in Treating Customers Fairly (TCF) strategies. Our consultants are highly qualified and have a thorough understanding of Financial Services Regulation.

Please browse this website for further details of our comprehensive range of services and contact us if you’d like to know more.

All enquiries are treated in the strictest confidence and are entirely without obligation.

We look forward to hearing from you.

Tel: 01608 662110 | Email: info@havenrm.com 

Haven Risk Management - Accreditations



Remember when ‘Robo-Advice’ was the future and was going to take over the bulk of the Financial Advice sector? So convinced of this were Investec, among a host of others, that they invested more than £32 million in a Robo-Adviser investment service. The bank have now...

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The MiFID 2 rule requiring advisers to produce detailed annual reviews of investment portfolios from this year end, whether the client wants one or not, is causing some consternation among financial advisers. The detail required means that each review could take...

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Triage (COBS 19.1.11)

This word is normally used to describe a process of deciding the relative seriousness of patient conditions before deciding who gets treated first. Never the most sophisticated of wordsmiths, our regulator is using it to describe an initial conversation, without...

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