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: October 2021

In this month’s News Notes we summarise the FCA and Pensions Regulator’s proposals to create a single framework for assessing value for money in pension schemes. We also take a look at the latest FCA updates.

Additionally we clarify the FCA requirements for PI policies subject to IPRU INV 13.1 in relation to cover for default and insolvency. For MIFIDPRU investment firms we provide two further spreadsheets to help with monitoring and reporting on the forthcoming changes to capital resources requirements, including an example for consolidation requirements for group.

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.