We advise domestic and international credit institutions, investment firms, payment institutions, and other regulated financial services providers, as well as the individuals involved in managing those providers on compliance with financial regulation including:
Our services
Our team provides advice to financial institutions and other financial services clients on the full range of contentious and non-contentious regulatory and compliance issues including:
- Authorisation requirements, including perimeter assessments and applications
- Applications for regulatory approval for individuals to perform controlled functions under the Central Bank of Ireland’s Fitness and Probity (“F&P”) regime, as well as post-approval issues including compliance with annual certification requirements
- Operational resilience, including outsourcing frameworks and agreements
- New product offerings
- Compliance with conduct and governance requirements, including conduct standards and the duty of responsibility under the Senior Executive Accountability Regime
- Identification and mitigation of risks arising from the handling of customer complaints, including those brought before the Financial Services and Pensions Ombudsman
- Acquisitions and disposals of interests in regulated financial services providers, including change of control notifications
- AML/CFT & Financial Sanctions
- Engagements with the Central Bank of Ireland’s supervisory and enforcement divisions
- Investigations and enforcement actions under the Central Bank’s administrative sanctions procedures and its F&P regime
