• Haven Risk Management

FCA Compliance Support

Broadly, this would include anything which a compliance officer might be required to undertake in a normal days work.

One area in particular where firms look for support from FCA compliance consultants is in relation to file reviews – especially in trying to ensure that there is a reduced chance of complaints arising in the future. File reviews are a main area, where we try very much to avoid the ‘negative reporting’, which is so often a feature of such reviews and which can be de-motivating for advisers. Equally, we highlight areas of weakness and show how they should be put right. This is how FCA compliance services can be most effective.

We encourage a ‘filter’ system of checking, whereby the basic components of a compliant file are overseen by the administrative function so that expensive resources aren’t wasted in, for example, checking whether the money laundering is complete.

Please contact us for further information.

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