We can assist clients scope, implement and monitor wide-ranging regulatory compliance deliverables.
Lead and / or contribute to:
Viability assessments of Ireland as a location for financial services firms.
Applications for authorisation in Ireland as a regulated financial services firm.
Proposed amendments to existing licences / regulatory approvals.
Representation at regulatory bodies:
Preparation and support for responses to and reviews / inspections by regulatory bodies.
remediation of supervisory comments and administrative sanctions.
Recent instructions include:
1) Assistance to a multi-lateral trading facility ("MTF") in achieving its MIFID authorisation over several months and serving as its temporary Chief Compliance Officer / Chief Risk Officer until an appropriate full-time appointment was made post-authorisation;
2) Assistance to European start-up, offering a private wealth FinTech solution aimed at the retail market, seeking authorisation for the MiFID services of “investment advice” and “reception and transmission”;
3) Advices to a UK FinTech seeking to establish in Ireland offering the MIFID service of “investment advice” and “reception and transmission";
4) Leading the MIFID authorisation of a proprietary trading firm;
5) Advices to several financial service providers (investment firms, electronic money institutions and payments firms) with regard to their outsourcing arrangements; and