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: June 2022

In this month’s News Notes we look at:

  • FCA’s powers to vary and cancel permission
  • Fair treatment of customers in vulnerable circumstances
  • Trust Registration
  • Bank Notes
  • New firm reference numbers
  • FCA Scam Prevention

We summarise the following FCA policy papers:

  • DP22/1: Resilience of money market funds
  • FS22/2: Driving value for money in defined contribution pensions
  • PS22/5: FCA’s new cancellation and variation powers.

The FCA has also confirmed the extension of the MIFIDPRU TP7 notification deadline to 29th June. It is essential that firms and parent entities ensure that each has made a correct notification to ensure that existing capital instruments will be recognised under the MIFIDPRU regime and we provide an explanatory note as to what is required.

We also summarise the disclosure requirements under the MIFIDPRU regime; this being the final part of MIFIDPRU implementation.

The compliance manual templates will be updated next month to cover changes since the February News Notes.

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.