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SPECIALTY SERVICES

Irish Financial Services Regulatory

Fitness & Probity / Senior Executive Accountability Regime

Our Financial Services Regulatory group in Ireland comprises of leading lawyers and experienced industry professionals with a wealth of experience in advising clients on regulatory requirements and how to manage regulatory risk within their business. Our highly technical team deliver pragmatic and solutions-focused advice to our clients.

Drafting appointment letters and contractual documentation for key function holders
Advising on the appointment and removal of those in “Pre-Approval Controlled Functions” (“PCF”)
Assisting firms seeking approval of candidates to new PCF roles and engagement with the Central Bank
Scoping “Controlled Function” roles and identifying key staff
Mock PCF interviews to prepare for interviews with the Central Bank
Developing Fitness and Probity frameworks which meet Central Bank expectations, including Dear CEO Letters
Designing an implementation framework for the proposed Individual Accountability Framework which will include a new Senior Executive Accountability Regime
Advising on issues relating to Fitness and Probity and working alongside Employment colleagues to find solutions to resolve issues which arise

Specialty Services →

Irish Financial Services Regulatory →

Contact Maples Group Professionals

All Locations / Dublin

Stephen Carty

Lorna Smith

Philip Keegan

Alison Gibney

Senior Regulatory Executive

Karen Killalea

Knowledge

Industry Updates

CBI Finds Deficiencies in Marketing Practices of Investment Firms

Industry Updates

Four Months to Go: Key Steps to Implement DORA

Industry Updates

ESMA Report on MiFID II Marketing Requirements

Industry Updates

AI: Risk and Regulatory Considerations for Irish Regulated Firms

Analysis & Insights

Central Bank Focus Areas for E-money and Payment Firm Applications

Industry Updates

EMIR REFIT – Impact on Irish Investment Funds

News & Deals

Deals

Maples Group Advises AMCS on its Landmark Sale to EQT Private Equity

Announcements

Maples Group Welcomes 13 New Associates to its Irish Law Firm

Announcements

2022 In the Spotlight Webcast Series

Discover Maples Group Services

Advisory & Assurance

We specialise in conduct of business obligations, initial & minimum capital as part of authorisations, & the capital implications of change in permissions.

Anti-Money Laundering & Countering the Financing of Terrorism

We can advise on changes to AML/CFT requirements, updating compliance frameworks, terms for the MLRO role, policies & procedures, staff training & more.

Authorisations & Change of Business

We can help you establish a new regulated business in Ireland, and guide you through your application for authorisation with the Central Bank of Ireland.

Compliance Universes & Frameworks and Procedures

We design compliance universes, procedures and frameworks to support robust policies and procedures, conduct training on compliance and regulatory matters.

Corporate Governance, Remuneration & Outsourcing

We can provide you with expert advice on industry-specific corporate governance requirements, and design robust oversight and remuneration frameworks.

Fintech

Our fintech team advises e-money firms, payment providers & digital banks on regulatory requirements & integrating them into their digital business models.

Regulatory Engagement & Enforcement

We can help you respond to regulator requests for information, supervisory engagement with regulators, mock inspections and support during inspections.

Sustainable Finance

We act for lenders, financial institutions, sponsors and investors in sustainable finance, advising on ESG-focused and sustainable financing transactions.