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 2022

In this month’s News Notes we look at:

  • Malware Information
  • Whistleblowing Reports
  • Appointed Representative Rules
  • Mortgage Switching

We summarise the following FCA policy papers:

  • PS22/9 and FG22/5: A new Consumer Duty – FCA is proceeding with this but with a longer implementation period
  • DP22/3: Operational resilience: critical 3rd parties to the financial sector – the FCA’s proposals for a new framework for “critical third parties” providing outsourced services such as cloud hosting and data analytics
  • CP22/14: Broadening retail access to the long-term asset fund – by re-classifying LTAF from non-mainstream pooled investments to “restricted mass market investments”

Our News Notes are available for a small monthly fee. Please contact us for more details, or for further information on any of our services.