Regulatory and Compliance

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 firms operating in the sector.

Meet the team
Practice Regulatory Compliance resized

Our Financial Services Regulatory team is a trusted advisor to firms on their interactions with the Central Bank of Ireland, as well as financial services authorities in other jurisdictions. We provide 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

Key Contacts

Hilda Mannix – excellent client service and a very safe pair of hands in litigation.’
– The Legal 500 (2024)
The individual solicitors are highly competent in their field. Their particular strength is taking the time to fully understand our business and its particular needs.
– The Legal 500 (2024)
The team is very proactive and professional.
– The Legal 500 (2024)
My primary contacts within RDJ are David McCarroll and Antoinette Vahey, who have been excellent to work with, busy people yet always make the time to respond.
– The Legal 500 (2024)
The employment team at RDJ are second to none. Prompt, reliable and relevant advice make them our go-to for all employment matters
– The Legal 500 (2024)