Regulatory Engagement and Enforcement

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.

Regulatory Engagement and Enforcement

Responding to regulator requests for information and business as usual supervisory engagement
Supervisory engagement with regulators including the Central Bank of Ireland, European Central Bank and Single Resolution Board
Mock inspections and support during on-site or desktop-based inspection
Regulatory breach and error notifications
Advising on Central Bank investigations into individuals and regulated firms
Remediating issues identified in Risk Mitigation Programmes under the PRISM regime
Guiding clients through engagement with the Central Bank enforcement division, including engagement under the Administrative Sanctions Procedure and reaching settlement agreements

Related Contacts

Stephen Carty

Partner Dublin

T: +353 1 619 2023

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Lorna Smith

Partner Dublin

T: +353 1 619 2125

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Philip Keegan

Partner Dublin

T: +353 1 619 2122

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Alison Gibney

Senior Regulatory Executive Dublin

T: +353 1 619 2158

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KNOWLEDGE

MiFID Firms – What is the Central Bank of Ireland's Focus for 2021? 25 February 2021
Fitness and Probity - Central Bank of Ireland Expectations Not Being Met 19 January 2021
EU Regulator Warning on Post Brexit Financial Services EU Access 14 January 2021
AML Frameworks of Schedule 2 Firms under CBI Scrutiny 05 January 2021
New Central Bank of Ireland Guidance on AML Transaction Monitoring 13 November 2020
CBI Enforcement Firm Hit with Fine for Cyber Security Failures 06 August 2020
ICLG Cybersecurity Guide 2020 25 October 2019