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
Anti Money Laundering
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: email@example.com
News Notes: October 2022
In this month’s News Notes we look at:
- Consumer Duty
- Appointed Representative Regime
- Pension Withdrawals
We summarise the following FCA policy papers:
- CP22/18 – proposed guidance on the trading venue perimeter, including confirmation for portfolio managers that internal cross trading does not constitution the operation of a multilateral trading facility
- CP22/19 – FCA’s proposal to replace the dreaded Financial Resilience questionnaire with a return (FIN37) but that MIFIDPR returns will not be required to complete the return because MIFIDPRU reporting already provides the necessary information.
FCA has also finalised clarifications to the MIFIDPRU reporting regime (which we summarised in July), including correction to the error in the MIFID007 guidance notes for non-SNI firms. This does not alter the functionality of the non-SNI worked example spreadsheets but we have added a note on page one that the relevant fields should be “zero” on the MIF007 return.
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.