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SPECIALTY SERVICES
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.

  • 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
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Irish Financial Services Regulatory

Advisory & Assurance

We specialise in conduct of business obligations, initial & minimum capital as part of authorisations, & the capital implications of change in permissions.
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Anti-Money Laundering & Countering the Financing of Terrorism

We can advise on changes to AML/CFT requirements, updating compliance frameworks, terms for the MLRO role, policies & procedures, staff training & more.
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Authorisations & Change of Business

We can help you establish a new regulated business in Ireland, and guide you through your application for authorisation with the Central Bank of Ireland.
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Compliance Universes & Frameworks and Procedures

We design compliance universes, procedures and frameworks to support robust policies and procedures, conduct training on compliance and regulatory matters.
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Corporate Governance, Remuneration & Outsourcing

We can provide you with expert advice on industry-specific corporate governance requirements, and design robust oversight and remuneration frameworks.
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Fintech

Our fintech team advises e-money firms, payment providers & digital banks on regulatory requirements & integrating them into their digital business models.
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Regulatory Engagement & Enforcement

We can help you respond to regulator requests for information, supervisory engagement with regulators, mock inspections and support during inspections.
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Sustainable Finance

We act for lenders, financial institutions, sponsors and investors in sustainable finance, advising on ESG-focused and sustainable financing transactions.
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