Prudential & Regulatory Advisory
A prudential and ICARA specialist offering regulatory risk advisory to FCA-authorised investment firms, led by a former SMF16. Specialising in MIFIDPRU, ICARA, Client Assets and regulatory governance.
Regulatory challenges for investment firms
Many investment firms continue to face challenges in meeting the FCA’s expectations under MIFIDPRU.
Recent FCA reviews have highlighted issues in areas such as regulatory reporting, own funds and liquidity requirements, and CASS compliance.
Where these challenges arise, firms often require additional support to ensure their frameworks are robust, proportionate, and aligned with regulatory expectations.
Samel Risk & Compliance works alongside consulting and advisory firms that require specialist regulatory expertise.
Available to support projects on an associate or subcontract basis.
About Samel Risk & Compliance
We provide regulatory risk and prudential advisory to FCA-authorised investment firms.
Led by Paul Bromley, who has over 30 years' experience in prudential regulation dating back to the original Capital Adequacy Directive which came into force in 1996.
The practice supports firms in building robust, proportionate frameworks aligned with FCA expectations.
Background
Chartered Accountant (ICAEW)
Former SMF16 and Risk Manager (FCA approved)
Company Secretary and Board Director with SM&CR experience
Prudential Regulation expert
Bank of England Decision Maker Panel
Experience in both bulge bracket investment banks and small boutique firms
DBS checked (enhanced)
Our Services
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MIFIDPRU Advisory
K-factor reviews, regulatory reporting analysis and rule interpretation
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ICARA Frameworks
Preparation, review and enhancement of ICARA processes
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Risk Management
Risk workshops, risk maps and internal control reviews
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CASS Compliance
CMAR reporting reviews, governance frameworks and resolution packs