Compliance Audits

Our firm offers:

  • a Prudential requirements audit

  • a Consumer requirements audit

  • a combination of both.

These audits simulate the Central Bank of Ireland's Inspection Process in a firm and we provide
a Compliance Report based on our findings.

Compliance Solutions

Assistance in resolving Regulatory issues if/when they arise.

Regulatory Authorisation Process

Complete assistance with Regulatory Authorisation Processes

Fitness and Probity and Minimum Competency Requirements:

Practical guidance on the Regulatory and Associated Human Resource requirements

Established Compliant Business Procedures:

To allow a firm effectively manage the Business on Compliance functions.

Complaints Handling

Assistance in responding to the initial client complaint to managing the Financial Service Ombudsman
Bureau complaints process correctly

Central Bank of Ireland Annual Return

Assistance with Annual Online Return requirements for:

  • Pre - Approved Control Function Return

  • Annual Prudential¬†Filing Return.

Evelyn Hanrahan - May 2008 3 (3)
Evelyn Hanrahan