Financial Regulation

In a rapidly changing and increasingly complex era of regulation our leading Financial Services Regulation and Compliance Group facilitates a co-ordinated and cutting edge approach to regulatory and risk management, enforcement and compliance work.

We cover every element of regulation as it applies to the financial services industry in Ireland. Our clients include most of the leading Irish and international banks, investment firms, insurance companies, e-money and payment service providers, collective investment schemes, fund service providers and other clients in the financial service industry.

Recognising the speed and volume of regulatory change in this area, our team issues a monthly Tracker bulletin which provides a unique update of legal and regulatory developments in Irish and EU financial services law across a broad spectrum of practices areas including banking, insurance, and asset management & investment funds.

 We cover all aspects of regulation including: 

  • establishment, authorisation and ongoing regulatory requirements for financial institutions
  • mergers and acquisitions in the financial services sector
  • risk management and corporate governance
  • dealing with complaints to the Financial Services Ombudsman
  • insurance
  • insider dealing, market abuse and prospectus issues
  • retail consumer credit
  • data protection and privacy
  • derivative transactions and prime brokerage arrangements
  • conduct of business requirements, including MiFID and the CPC
  • investigations and enforcement action by regulators, including administrative sanctions
  • financial asset acquisitions and disposals
  • regulatory capital treatment including Basel-related issues
  • internet-based projects and investments
  • anti-money laundering issues
  • mortgage lending
  • audits of regulatory and compliance best practice

Experience

  • ACC

    on the revocation of its banking license process and its replacement with an Investment Business Firm authorisation.

  • Citibank Europe plc

    on the regulatory aspects of the merger into it of Citibank International Ltd.

  • Special Liquidators of IBRC

    on regulatory aspects of the IBRC Liquidation.

  • Deutsche Borse

    on Eurex Clearing Rules.

  • Julius Baer

    on regulatory aspects of its acquisition of Merrill Lynch's Irish Wealth Management Business.

  • Guardian Assurance

    on the acquisition of Ark Life.

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