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: November 2021

In this month’s News Notes we remind you of the Certificate deadline and Annual Firm attestation and Directory attestation requirements. We also look at Cyber Risk Management, Being a Company Director and the latest FCA updates. For MIFIDPRU investment firms, with the FCA’s set-up questionnaire on its way, we make some suggestions for setting the ICARA submission date.

We also summarise the FCA’s plans to introduce a new sustainability disclosures and investment labelling regime and, for MIFIDPRU investment firms, the FCA’s expectations as to the use of ex post risk adjustment under the forthcoming SYSC 19G remuneration code.

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.