Services
Financial Regulation

Financial Regulation

We have specialist experience of advising individuals who are the subject of investigation by the Central Bank of Ireland. We advise individuals who require independent legal advice when engaging in Central Bank of Ireland investigations as witnesses, for example in the context of market abuse investigations. We also advise those in controlled functions in respect of complaints that have been made against them which are being investigated by the Central Bank of Ireland.

Why choose our Financial Regulation solicitors?

Our team is highly experienced in the area of financial regulatory investigations and has the skills and expertise to provide strategic and timely advice to our clients.We also advise regulated entities on their obligations in a variety of financial services sectors, including novel areas such as crowdfunding.The Financial Regulation team operates as part of the Public and Regulatory unit, which is the largest team of its kind in the country dealing with Public and Regulatory Law.

Our team is very familiar with the day-to-day implementation of the Central Bank Reform Act 2010 in the context of fitness and probity. We have advised individuals in controlled functions regarding the powers of the Central Bank of Ireland where the person is under investigation in relation to their fitness and probity to perform the relevant function. In particular we have advised in the context of response to the issuance by the Central Bank of Ireland of Prohibition Notices, and on Central Bank registration requirements and ongoing regulatory obligations.

Areas of Practice:

Inquiries
Fitness and Probity
Enforcement

Notable deals

Advised an individual in the context of a market abuse investigation

Advised an individual who was being interviewed by the Central Bank in the context of a market abuse investigation; attended at several such interviews and advised the individual in respect of the powers and functions of the Central Bank.

Advised an individual in respect of a fitness and probity investigation

Advised an individual, who held a controlled function position in the insurance industry, in respect of a fitness and probity investigation being conducted by the Central Bank.

Advised an individual on all aspects of a criminal investigation

Advised an individual on all aspects of a criminal investigation, including subsequent court proceedings, arising out of a complaint to the Central Bank.

Key Contacts

Barry Fagan

Partner, Head of Public and Regulatory
Dublin 4, Ireland +353 1 828 0623 Email Barry

Betting and Gaming

EU, Competition and Regulatory

Procurement

Public and Regulatory
James Roche

Director, Public and Regulatory
Dublin 4, Ireland +353 1 828 0995 Email James

Financial Regulation

Public and Regulatory