Compliance Consultancy

All entities (both incorporated and unincorporated) offering investment business services in Ireland must be authorised by the Financial Regulator under the Investment Intermediaries Act, 1995 (as amended).  We provide consultancy services pertaining to this legislation to include:

•  Authorisation
   - Advice on various authorisation levels
   - Submission of applications to the Financial Regulator for authorisation

•  Development of systems and structures necessary to ensure compliance with regulatory    requirements

•  Production of various documents required by the Financial Regulator (e.g. Compliance    manuals, procedures and Controls manuals)

•  Annual Audit of Firm's compliance with regulatory requirements

•  On-going support with compliance requirements (e.g. Dealing with correspondence from    the Financial Regulator, adhoc compliance queries)

•  In-house compliance training (Courses tailored to specific needs of organisation to    ensure firm complies with training regulations)

•  Handling clients complaints in a manner compliant with the Financial Regulators    requirements.

Contact: Yvonne O'Connor