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Financial Services Regulatory

In recent years the Central Bank of Ireland has become a more intrusive supervisor of the financial services sector. This has led to an increased number of Central Bank inspections, investigations and enforcement actions, and in-turn has given a demand for increased legal and regulatory support to be provided to firms operating in the sector.

RDJ advises clients on their interactions with the Central Bank of Ireland, as well as financial services authorities in other jurisdictions. We offer specialist advice to financial services clients on all aspects of contentious and non-contentious regulatory matters, including:

  • Regulatory strategy & regulatory engagement.
  • Licensing and establishment.
  • Regulatory inspections (on-site inspections, targeted risk assessments, financial risk reviews, thematic inspections)
  • Implementation of regulatory remediation actions.
  • Advice on Central Bank Codes/Rules (PRISM, Corporate Governance, Fitness and Probity etc.).
  • Regulatory compliance.
  • Self-disclosure.  
  • Dawn raids.
  • Skilled person reports.
  • Advice on administrative sanctions procedures adopted by the Central Bank of Ireland.

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