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

An employer is free to terminate an employee’s employment for no reason during probation and, even where it relates to poor performance, the employer is not obliged to observe fair procedure but where the termination is for misconduct fair procedures must be observed.
Professional , attentive, competent and always looking out for what was best for us.
– John Mee, Sidero
Richard Martin is articulate without being slick and has the confidence to go off script, if not off-piste. He is frank and his answers appear considered rather than contrived. He is the sort of person you would trust to deliver bad news.
– Francesca Comyn, Legal Editor, The Currency
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)