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.

Regulatory challenges for cryptoasset firms

Many firms in the UK who provide cryptoasset services have registered with the FCA under the Money Laundering Regulations. However, a new regime for these firms will commence on 25th October 2027 which will require crytpoasset firms to be authorised by the FCA to undertake this business, either as a newly regulated firm or a variation of permission for firms already authorised for other activities.

Firms will need to submit these applications in good time to be authorised by 25th October 2027. Samel Risk & Compliance is well placed to assist with these applications to ensure that the frameworks are robust, proportionate and aligned with the FCA’s expectations.

COREPRU and CRYPTOPRU introduce a new prudential framework, including requirements relating to financial resources, risk assessment, stress testing and wind-down planning. Please see the services page for more information on how we can help.

Samel Risk & Compliance works alongside consulting and advisory firms that require specialist regulatory expertise.

Available to support projects on an associate or subcontract basis.