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.
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: November 2023
In this month’s News Notes we look at:
- Consumer Duty – Management Information
- FCA Authorisations – Form A
- SM&CR Certification Signoff
- Dear CEO letter – Wealth Management and Stockbroking letter issued to firms 8 November
This month we summarise the following FCA policy documents:
- CP23/22 Regulatory Fees & Levies
- FS23/7 Long Term Asset Funds (LTAFs)
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.
