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 

News Notes: July 2023

In this month’s News Notes we look at:

  • ICO help videos
  • FCA FRN new numbers
  • FCA notes on PI insurance
  • Mortgage updates
  • Supporting savers
  • FCA Consumer Duty – the 31st July deadline

This month we summarise the following FCA policy documents:

  • PS23/7 Broadening retail access to the long-term asset fund
  • PS23/8 Mortgage Charter: enabling provisions
  • PS23/9 Finalised insurance guidance on supporting customers in financial difficulty
  • FS23/4 Potential competition impacts of Big Tech entry and expansion in retail financial services
  • GC23/2 Financial promotions on social media

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.

APCC Member
Personal Finance Society ~ Qualified Member
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