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


Whistle Blowing

The FCA and before them the FSA, set great store by 'whistle blowing' whereby employees or anyone else 'in the know' could report skulduggery in their firms which might not otherwise go undiscovered. They were to be secure in the knowledge that their tipoff would be...

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Fund Fees

The FCA has just completed a 2½ year investigation into the UKs £8.1 trillion fund management industry, focussing on operating practices and whether charges are excessive. The time taken to complete the investigation certainly seems excessive. It is difficult to...

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Bitcoins rose in value by nearly 1,500% in the past year and although they have now fallen back substantially, they still represent a massive return for those who got in early. For those who are kicking themselves for not having taken a punt on this enigmatic currency...

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