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: 01386 438694 | Email: info@havenrm.com 

Haven Risk Management - Accreditations

Comment:

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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Private Money Laundering

The National Crime Agency has warned private schools that they should show more of an interest in where the money used to fund their foreign students originates. They are pointing out that anyone in the regulated sector, which schools are, taking money from anywhere,...

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Re-assessment Test

The FCA and the CII have launched a new 'Level 4' test for practising advisers. This has to be applauded as many advisers have had no reassessment since first gaining their qualification. Some of our firms already conduct their own assessments, but this new exam,...

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