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Irish Financial Services Regulatory
Compliance Universes and Frameworks and Procedures
Our Financial Services Regulatory group in Ireland comprises of leading lawyers and experienced industry professionals with a wealth of experience in advising clients on regulatory requirements and how to manage regulatory risk within their business. Our highly technical team deliver pragmatic and solutions-focused advice to our clients.
- Irish Financial Services Regulatory
- Authorisations and Change of Business
- Fintech
- Corporate Governance, Remuneration and Outsourcing
- Advisory and Assurance
- Anti-Money Laundering & Countering the Financing of Terrorism
- Regulatory Engagement and Enforcement
- Fitness & Probity / Senior Executive Accountability Regime
- Sustainable Finance
Compliance Universes and Frameworks and Procedures
- Designing detailed compliance universes setting out the applicable regulatory regime to map key controls and responsibilities
- Developing policies and procedures required under financial services legislation
- Building robust frameworks to implement and support policies and procedures
- Completing assessments of firms’ compliance and identifying gaps for remediation
- Documenting oversight frameworks for outsourcing arrangements and delegation models
- Annual training on compliance and regulatory matters, including when new or revised requirements are introduced
- Tracking impending changes and upstream regulatory change management
Related Contacts
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Stephen Carty
-
Lorna Smith
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Philip Keegan
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Alison Gibney
KNOWLEDGE
- MiCA and Central Bank Feedback on VASP Registrations 14 July 2022
- New Mandatory Consideration of ESG Factors for EU Investment Fund Managers 07 July 2022
- Irish FinTech Regulation Focus - Six Key Areas 04 July 2022
- MiFID Sustainability Preferences Putting ESG at the Centre of the Sales Process 30 June 2022
- Widening the Net of Regulation of Retail Credit Firms in Ireland 15 June 2022
- New EU Ban on Selling Investment Funds to Russian or Belarusian Persons 27 April 2022
- Establishing a Regulated Fintech Firm in Ireland 21 April 2022
- Updated Central Bank of Ireland PCF List - Required Actions and Filings 20 April 2022
- Fitness and Probity Notice: Bringing New Retail Credit Providers in Scope 06 April 2022
- Irish and EU Regulators Warn Retail Investors of Risks of Investing in Cryptoassets 28 March 2022