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

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– Pat Phelan - Serial Tech Entrepreneur
The Team at RDJ provide an exceptional service. They have a deep experience and understanding of the legal landscape
– The Legal 500 (2022)
very knowledgeable and proactive in their support
– Chambers Europe (2022)
They are an excellent firm with a solid market reputation
– The Legal 500 (2022)
RDJ is one team where the person is respected before the position. Partners and solicitors are generous with their time, knowledge, and expertise and are committed to helping trainee solicitors learn and develop to their full potential. It’s a fantastic training environment.
– Leah Moriarty, Trainee Solicitor