Our Regulatory Investigations Group is the leading practice of its kind in Ireland. We have represented clients across the financial services industry in the majority of Central Bank of Ireland enforcement investigations, and other regulators’ enquiries and investigations, into major financial institutions.
ALG was the first firm in Ireland to establish a dedicated cross-practice team of Financial Regulatory advisory lawyers and Regulatory Investigations contentious lawyers to provide a holistic and innovative approach to all regulatory issues.
We understand that as a regulated firm you are required to comply not just with legal and regulatory requirements but also with regulators' and customers' expectations.
Our Regulatory Investigations lawyers are experienced in all aspects of regulatory engagements at Irish and European level, from internal compliance reviews and internal investigations, skilled persons reviews, risk mitigation programmes, enforcement investigations, fitness and probity investigations and managing the interaction between complaints, appeals, litigation and regulatory relationships.
Our team also draws on ALG's experience in dealing not only with the Central Bank of Ireland but also the Data Protection Commissioner, Garda National Economic Crime Bureau, Revenue Commissioners, Criminal Assets Bureau, Irish Stock Exchange and the Competition and Consumer Protection Commission.
Our Regulatory Investigations lawyers provide a comprehensive response to business critical regulatory issues as outlined in the experience section below.
Supervisory reviews / on-site inspections
responding to all enquiries raised by regulators
Irish enforcement investigations
representing firms in administrative sanctions processes brought by the Central Bank and other regulators against both firms and senior executives
European enforcement investigations
representing firms under the ECB's Single Supervisory Mechanism enforcement investigation procedure
designing, conducting, overseeing and reporting on internal investigations relating to regulatory compliance, client engagement and potential regulatory breaches
Fitness and probity investigations
advising clients on all aspects of the Fitness and Probity Regime
Senior Executive Accountability Regime
assisting clients in their preparation for the implementation of the upcoming Individual Accountability Framework