Haven Risk Management

Compliance Consultants for FCA and PRA Regulated Firms

We are compliance consultants specialising in the provision of support services to firms which are authorised and regulated by the FCA and/or the PRA. Our clients range from individuals to multi-nationals and include IFAs, friendly societies, stockbrokers and investment managers.

Compliance with FCA rules and guidance is the basis of our service.

Compliance Services for FCA Firms

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 cover all aspects of the FCA compliance process and work with you – our clients, to find the best solution for your needs. 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 to find out more about how we can help you.

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 

Professional Accreditations

News Notes: August 2021

In this month’s News Notes we have updated our IFPR summary table to the latest position, and have also provided a description of the MIFIDPRU sourcebook.

It’s still mostly about the IFPR this month as FCA has published PS21/9, which is the second policy statement, at the same time as publishing its third consultation paper, CP21/26, and we summarise the most relevant points from each of these. We also summarise FCA’s proposals for improvements to PRIIPs regulation, and the transfer of some decision-making from Regulatory Decisions Committee to FCA Executive. FCA has also increased the minimum limits of indemnity for PI insurance from 1st August, but there is a transitional period until 31st July 2022.

Please note that August News Notes are mainly in connection with the IFPR updates and as these only apply to full MiFID firms and not to Article 3 exempt firms, there will not be Q&As on this month’s notes.

The above is the introduction to the latest edition of our News Notes, which are available for a small monthly fee. Please contact us for more details of our News Notes, or for further information on any of our services.