FAQs

What geographical area does Haven cover?
The Haven Risk Management compliance consultancy covers the whole of the UK.

Can Haven’s consultants work remotely to support us in working from home?
Yes – Haven has upgraded all of its on-line security to enable secure remote access to your systems or servers through a VPN or other secure method. We are happy to use video calls and meetings to support compliance requirements and conduct meetings where required.

If we appoint you as our compliance consultants, will we be seeing a different person every time we have a visit?
No. Once appointed, we allocate a specific consultant to you and baring holidays, illness or emergencies, this is the consultant that you will always see.

Do we get better terms from providers if we appoint you as our financial services compliance consultants?
No, we are specialists in compliance consultancy and concentrate on this area alone. Anyone seeking to balance compliance consultancy costs against other costs should be cautious as it is very seldom possible to get the best of both worlds. We would also not want there to be any possible conflict of interest in the compliance support that we provide.

Financial services regulation is becoming increasingly complex. How can you guarantee that you always have the right answers?
We would not, of course, ever guarantee any such thing! However, we always make every effort to achieve this and we keep ourselves up to date with the latest regulations and FCA requirements so that we can advise you in an informed and accurate manner. We can help you to provide a good ethical service to clients keeping the Regulator happy whilst running an efficient and profitable business.

If we phone the Haven helpline, do we always get an immediate answer?
Not always. If you phone the Head Office number, you will be put through to the appropriate consultant or you may indeed wish to phone your consultant yourself as mobile numbers are always provided. If the consultant is with another client they might not be able to answer immediately. However, our target, which we usually achieve, is to get you an answer within 24 hours.

Can you supply a compliance manual?
Yes, we provide you with access to our online manual which we keep updated regularly and we are happy to personalise it for every Firm.

Can you help with CPD requirements?
Yes, we produce monthly CPD notes which cover and regulatory changes and pick up on current issues in the sector. Each issue includes 10 questions and 1 hour structured CPD may be claimed.

How much compliance support will I need?
How much compliance support you need will very much depend on where you are in your business. If you are new and just starting out, then you may need help with your FCA applications, policies, processes and controls. If however, you are looking to change or enhance your compliance support and you already have everything set up, we are here to just support you with what you require. All of our compliance support is bespoke to you, the client, and we tailor it completely to your needs.