the DIRECTORY
PO Box 19
Chipping Campden
Gloucestershire
GL55 6YX
T: 01386 438694
E:
www.havenrm.com
No. of consultants: 2-3
Geographic area covered: UK
  • National

Haven Risk Management Limited

Providing bespoke Compliance & Training and Competence services to IFAs and Friendly Societies. Provision of CFP Training.

types of client firm served:

  • Authorised Professional Persons
  • Building Societies
  • Collective Investments Funds
  • Corporate Finance Firms
  • Credit Unions
  • Discretionary fund managers
  • Friendly Societies
  • IFA (incl IFA divisions of financial institutions)
  • Institutional investment management
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Mortgage Brokers
  • Payments Services Institutions
  • Pension Scheme Operator/Provider
  • Private Client investment management
  • Restricted financial advisers
  • Retail investment management
  • Secondary Intermediaries
  • Securities and Futures firms
  • SIPP providers
  • Stockbrokers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - Financial Services
  • Expert Witness - AML and Payment Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Payments Services Registration and Compliance
  • Pension Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates

Services to other firms:

  • Documentation
  • Locum/Mentoring/Buddying
  • Newsletters
  • Technical Helpdesk
  • Temporary Consultants