FSA Compliance Manual

All clients of Haven RM are offered our comprehensive compliance manual on disc. This manual is constructed with great care and considerable input from various industry experts. It is re-issued annually.

All sections are cross referenced to the appropriate sections of the FSA Handbook – particularly SUP, COB, AUTH and SYSC.

The firm retains the services of Catherine Lumb of Compos Mentis, to keep the manual updated. If ever an important change comes through, or minor changes have accumulated, updates are sent to the client by means of a bulletin. Catherine also edits the Thomson Gee Compliance Update and is a highly regarded regulatory expert.

Please contact us for further information.