• Haven Risk Management

FAQs

What geographical area does Haven cover?
The Haven FCA compliance consultancy covers the whole of the UK.

If we appoint you as our FCA compliance consultants, will we be seeing a different person every time we have a visit?
No. Once appointed, we allocate a particular consultant to you and holidays, illness or emergency apart, this is the consultant that you will always see.

Do we get better terms from providers if we appoint you as our financial services compliance consultants?
No, we are specialists in compliance consultancy and concentrate on this area alone. Anyone seeking to balance compliance consultancy costs against other costs should be cautious as it is very seldom possible to get the best of both worlds.

Financial services regulation is becoming increasingly complex. How can you guarantee that you always have the right answers?
We would not, of course, ever guarantee any such thing! However, we always make every effort to achieve this and no client firm of ours has ever got into trouble with the regulator in the 15 years that we have been operating.

Regulation is crippling my business. Will there ever be an end to it?
Financial services in the UK are over regulated. There are some encouraging signs from the FCA who now ‘risk rate’ firms and seem to genuinely want to improve their processes and communications. We help you to provide a good ethical service to clients while keeping the Regulator happy and running a profitable business.

If we phone the Haven helpline, do we always get an immediate answer?
Not always. If you phone Head Office you will be put through to the appropriate consultant or you may indeed wish to phone your consultant yourself. If the consultant is on site with another client he or she might not be able to answer immediately and might in any case need to refer to one of our technical back up team in order to provide an accurate response. However, our target, which we usually achieve, is to get you an answer within 24 hours.

Do you supply a compliance manual?
Yes, we provide you with access to our online manual & which we keep updated regularly.

Can you help with CPD requirements?
Yes, we produce monthly CPD notes which cover and regulatory changes and pick up on current issues in the sector. Each issue includes 10 questions and 1 hour structured CPD may be claimed.

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