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Irish Financial Services Regulatory
Fitness & Probity / Senior Executive Accountability Regime
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
- Compliance Universes and Frameworks and Procedures
- Anti-Money Laundering & Countering the Financing of Terrorism
- Regulatory Engagement and Enforcement
- Sustainable Finance
Fitness & Probity / Senior Executive Accountability Regime
- Drafting appointment letters and contractual documentation for key function holders
- Advising on the appointment and removal of those in “Pre-Approval Controlled Functions” (“PCF”)
- Assisting firms seeking approval of candidates to new PCF roles and engagement with the Central Bank
- Scoping “Controlled Function” roles and identifying key staff
- Mock PCF interviews to prepare for interviews with the Central Bank
- Developing Fitness and Probity frameworks which meet Central Bank expectations, including Dear CEO Letters
- Designing an implementation framework for the proposed Individual Accountability Framework which will include a new Senior Executive Accountability Regime
- Advising on issues relating to Fitness and Probity and working alongside Employment colleagues to find solutions to resolve issues which arise
Related Contacts
-
Stephen Carty
-
Lorna Smith
-
Philip Keegan
-
Alison Gibney
-
Karen Killalea
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