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:

MiFID Moans

An article appeared recently in one of the pinks where an IFA was complaining that MiFID 2 rules requiring him to undertake annual reviews, in order to justify the cost of ongoing advice, were hampering his business. He said ‘The issue is that there may be some...

read more

The Ethic of Care

In his Mansion House speech of 2014, Martin Wheatley, the then CEO of the FCA stated that future regulation would place far more emphasis on good judgement rather than compliance with a narrow set of rules. The 'ethic of care', doing what is right, would take...

read more

Appointed Representatives

In 1998, 10 years after the start of regulation, some 80% of advisers were acting as appointed representatives (ARs) of networks or of larger IFAs. Over the last 10 years though this has fallen back to probably a bit less than 50%. Increasingly firms now have the...

read more
Password Reset
Please enter your e-mail address. You will receive a new password via e-mail.