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Compliance Ireland Resources
Our Services
Our Services Brochure
Public Training Programme for Q1 2010
Non-Executive Director Services
Board Support Services
Credit Union Services
Our Newsletters
2010
Newsetter 13/2010 (July 2010 - ACAMS presentation) NEW!
Newsetter 12/2010 (June 2010 - New AML law implementation) NEW!
Newsetter 11/2010 (April 2010 - Consultation Paper on Corporate Governance)
Newsletter 10/2010 (April 2010 - Matthew Elderfield appears in front of Oireachtas Committee)
Newsletter 09/2010 (March 2010)
Newsletter 08/2010 (March 2010 - Financial Crime Update)
Newsletter 07/2010 (March 2010 - Matthew Elderfield sets out the future of financial regulation in Ireland)
Newsletter 06/2010 (February 2010 - Bill Prasifka appointed as Financial Services Ombudsman)
Newsletter 05/2010 (February 2010 - Financial Regulator enforcement statement; STR court case judgement)
Newsletter 04/2010 (February 2010 - Financial Regulators warns about weak sales practices to elderly consumers)
Newsletter 03/2010 (February 2010 - MiFID Update)
Newsletter 02/2010 (January 2010 - Financial Crime Update)
Newsletter 01/2010 (January 2010 Special Edition: Central Bank appointment of Jonathan McMahon as Assistant Director-General for Financial Institutions Supervision)
2009
Newsletter 14/2009 (December 2009 Special Edition: MBNA charging error and the Financial Regulator's Investigative Process)
Newsletter 13/2009 (December 2009 Special Edition: Settlement Agreement with DePfa ACS Bank)
Newsletter 12/2009 (December 2009 Special Edition: Comments on announcement by Central Bank of new senior posts)
Newsletter 11-2009 (December 2009 - Special Edition: Speech by new Governor of Central Bank of Ireland/Financial Regulator on future of regulation in Ireland)
Newsletter 10-2009 (October 2009 - Special Edition: Merrill Lynch fined €2.75miliion by Financial Regulator for $461million loss caused by traders)
Newsletter 9-2009 (October 2009 - Special Edition: Appointment of Matthew Elderfield as Head of Financial Regulator)
Newsletter 8-2009 (September 2009 - Special Edition on the Criminal Justice (Money Laundering and Terrorist Financing) Bill 2009)
Newsletter 7-2009 (September 2009 - Special Edition on the appointment of new Governor of Central Bank of Ireland)
Newsletter 6-2009 (August 2009 - Special Edition on new 10% Regulatory Reserve Ratio for Credit Unions)
Newsletter 5-2009 (July 2009 - Special Edition on the Role of the Compliance Officer)
Newsletter 4-2009 (July 2009)
Newsletter 3-2009 (June 2009 - Special Edition on new Irish Regulatory Structure)
Newsletter 2-2009 (June 2009)
Newsletter 1-2009 (February 2009)
2008
Newsletter 6-08 (November 2008)
Newsletter 5-08 (October 2008)
Newsletter 4-08 (August 2008)
Newsletter 3-08 (July 2008)
Newsletter 2-08 (May 2008)
2007
Newsletter 6-07 (November 2007)
Newsletter 5-07 (August 2007)
Newsletter 4-07 (July 2007)
Newsletter 3-07 (May 2007)
Newsletter 2-07 (May 2007)
Newsletter 1-07 (January 2007)
2004-2006
Newsletter 9 (May 2006)
Newsletter 8 (January 2006)
Newsletter 7 (September 2005)
Newsletter 6 (July/August 2005)
Newsletter 5 (June 2005)
Newsletter 3 (September 2004)
Newsletter 2 (August 2004)
Briefing Note:
Risk Management and Internal Controls (July 2008)
Our Papers
Third Money Laundering Directive: Overcoming Remaining Implementation Challenges - (presentation to ACAMS AML/CTF Conference on 8 June 2010, Amesterdam by Peter Oakes, Compliance Ireland). This is a large file (2MB)
Electronic Data Electronic Marketing - Examples and Practicalities - (presentation to Irish Computer Society 2nd Annual Data Protection Conference, 25 March 2010 by Peter Oakes, Compliance Ireland). This is a large file (3MB).
Crash Course in Corporate Governance (presentation by James Maher (Executive General Manager, Nexgen Reinsurance Limited) and Peter Oakes (Managing Director, Compliance Ireland) to the Society of Actuaries in Ireland on Tuesday 8th September 2009. This is a large file (5MB plus).
Personal Data Retention (Presentation to Irish Computer Society Seminar, 26 May 2009). This is a large file (5MB plus).
Courts, Legislative Update and Recent Issues (Presentation to Irish Computer Society Data Protection Conference, 21 April 2009). This is a large file (5MB plus).
The Basics – What Every Data Controller Needs to Know (Conference Presentation 27 January 2009)
Dealing with Access Requests: ICS Privacy Forum (November 2008)
The Basics – What Every Data Controller Needs to Know (Conference Presentation 26 June 2008 - see updated version given January 2009 above)
Data Protection Presentation (8 May 2008)
Presentation to Bank of Kuwait AML Conference (November 2006)
Part 1 Complete Governance - Irish Financial Markets presentation (Compliance Ireland) (October 2006)
Part 2 Complete Governance - Irish Financial Markets presentation (Hi Tec) (October 2006)
Paper on Phishing (September 2006)
What Every Data controller needs to know presentation (March 2007)
2010 AML/CFT Law
This section includes documents relating to the Criminal Justice (Money Laundering and Terrorist Financing) Bill 2009 (published 28 July 2009), the Scheme, the precursor to the Bill, (published 12 February 2008) and the EU AML/CFT Directives. Ireland, as at 4 May 2010, is the only Member State not to have notified the EC of its transpostion of the Directive (see Timeline section below).
The Act
As at Thursday 13 May 2010:
- Click here for copy of the 2010 Act
- Click here for Minister's press release announcing that Act has been signed into law (10 May 2010)
- Download Financial Crime and MLRO Services brochure here
Guidance Notes
- Draft Core Guidance Notes
- Draft Sectoral Guidance Notes - Investment Funds - NEW
- Draft Sectoral Guidance Notes - Banking - NEW
- Draft Sectoral Guidance Notes - Insurance - NEW
- Draft Sectoral Guidance Notes - Credit Unions - NEW
- See more at http://www.antimoneylaundering.ie/GNDownload.html
Versions of the Bill
As at Wednesday 28 April 2010 (updated 13 May 2010):
- Click here for a copy of the final Bill as passed by the Oireachtas (but not signed into law) on 28 April (released 13 May 2010)
- Click here for a copy of the Bill (produced in good faith) by Compliance Ireland while we await publication of the official version. This document is created by manuscript entries of Seanad amendments accepted by the Dail on 28 April 2010. As soon as the official version is uploaded onto the Oireachtas website, it will appear above.
- Click here for an extract of Oireachtas proceedings on the day the Bill was passed.
Timeline -
(1) European Commission State of Play of Directives showing Ireland as the only country as 4 May 2010 as not having confirmed compliance with the 3rd EU Directive. Click here
(2) Compliance Ireland's timeline on the Bill is available here (out of date)
European Directives
- Main Directive - 2005/60/EC issued 26 October 2005
- Implementing Directive - 2006/70/EC issued 1 August 2006
Early versions of the Bill, amendments and Scheme
11 March 2010:
read in conjunction with:
- Proposed Amendments to Bill in Report Stage in Seanad Éireann on 21 April 2010
- Amendments to Bill in Select Committee Stage in Seanad Éireann on 11 March 2010 (published 19 March 2010)
19 March 2010 (Seanad Éireann) - Amendments to Bill in Select Committee Stage
11 March 2010 (Seanad Éireann) - Record of Select Committee's debate
11 March 2010 (Seanad Éireann) - Proposed amendments to the Bill in the Select Committee Stage
2 March 2010 (Seanad Éireann) - Record of Second Stage debate
17 February 2010 (Dáil Éireann) - Criminal Justice (Money Laundering & Terrorist Financing) Bill 2009 (as passed by Dáil Éireann) 17 February 2010
17 February 2010 (Dáil Éireann) - Record of Report Stage discussion of 17 February 2010 on Compliance Ireland's submission
- we have highlighted in yellow where our submissions were referenced by Dáil Éireann . We are very happy that our submissions were considered. See also our comments at the Select Committee stage.
- 17 February 2010 (Dail Éireann) - Proposed amendments to the Bill at the Report Stage
14 February 2010 (Dáil Éireann) - Criminal Justice (Money Laundering & Terrorist Financing) Bill 2009 with amendments engrossed as at 14 January 2010 See above for the latest version of the Bill .
- First additional list of amendments containing substitute amendments to Bill at 12 January 2010 Select Committee Stage (January 2010)
- Record of Select Committee's discussion of January 2010 on Compliance Ireland's submission (January 2010)
- we have highlighted in yellow where our submissions were debated by the Select Committee in the above document. We are very happy that our submissions were considered throughout the 57 pages of debate.
- Proposed Amendments to Bill at 2 December 2009 Select Committee Stage (December 2009)
- Explanatory Memorandum (to Bill published 28/07/200)
- Criminal Justice (Money Laundering & Terrorist Financing) Bill 2009 (Bill as published on 28/07/200). NB: this version is replaced with the version issued January 2010 (see above).
- Detailed Note accompanying Minister's Press Release of 28 July 2009
- Copy of Minister's Press Release of 28 July 2009
The Scheme
(NB - these documents are kept for historical purposes. The Bill (above) is what you should read)
- Ministerial Press Release on AML/CFT Scheme (12 February 2008)
- AML/CFT Scheme - Criminal Justice (Money Laundering) Bill 2008 (12 February 2008)
- AML/CFT Scheme Regulatory Impact Assessment (12 February 2008)
Financial Regulator Resources
CONSULTATIONS
Banking Supervision Reform
Banking supervision: our new approach - 21 June 2010 NEW!
- Speech by Jonathan McMahon, Assistant Director General for Financial Institutions, Central Bank of Ireland NEW!
- Speech by Patrick Brady, Assistant Director General for Policy and Risk, Central Bank of Ireland NEW!
CP45 - Minimum Competency - June 2010 NEW!
CP44 - Credit Union Stabilisation - June 2010 NEW!
CP43 - Related Party Lending - May 2010
CP42 - Investment Guarantees - May 2010
CP41 - Corporate Governance Requirements for Credit Institutions and Insurance Undertakings - April 2010
CP40 - Guidance Note 1/09 Revocation of Collective Investment Schemes
CP39 - Revision to UCITS and Non-UCITS Notices - July 2009
CP38 - Telephone Records and Electronic Communications under the MiFID Regulations - July 2009
CP36 Disclosure of grants of securities over shares - April 2009
CP34 on a Review of the Life Assurance Provision of Information Regulations 2001 - Sept 2008
CP33 - Consumer Protection Code for Licensed Moneylenders - March 2008
CP32 - Voluntary Consumer Protection Code for Credit Unions - March 2008
CP31 - Amendments to the UCITS Notices and related Guidance Notes - December 2007
Regulatory Connection
Issue 15 - November 2008
Issue 14 - May 2008
Issue 13 - January 2008
Issue 12 - October 2007
Issue 11 - June 2007
Issue 10 - March 2007
Special MiFID Issue - January 2007
Issue 9 - November 2006
Issue 8 - September 2006
Issue 7 - May 2006
Issue 6 - February 2006
Issue 5 - November 2005
Issue 4 - August 2005
Special Name Change Issue - June 2005
Issue 3 - April 2005
Issue 2 - January 2005
Registrar Of Credit Unions News
Issue 7 - December 2008
Issue 6 - July 2008
Issue 5 - December 2007
Issue 4 - June 2007
Issue 3 - December 2006
Issue 2 - October 2005
Issue 1 - May 2005
Regulation of Credit Unions
Registrar of Credit Unions appointed - 23 April 2010
Review of Credit Unions - 22 December 2009
Recruitment of New Registrar of Credit Unions - 18 December 2009
Letter to Auditors of Credit Unions - September 2009
Regulatory Reserve Ratio - August 2009
Speech by Registrar of Credit Unions at Credit Union Development Association AGM - January 2009
Guidance Note on Credit and Credit Control - November 2007
Regulation of Investment Firms (MiFID FIRMS)
Financial Regulator assessment of MiFID compliance - October 2008
Fit & Proper requirements - December 2008
New Individual Questionnaire - December 2008
Fit & Proper Declaration (Funds Only) - December 2008
Guidance Note on Authorisation of Multilateral Trading Facilities - December 2008
Client Asset Requirements - October 2008
Regulation of Funds
Policy Updates
Assistance Paper - Directed Brokerage Programmes and Similar Arrangements (Dated 21 November 2002; Re-issued 11 February 2010)
Policy Update 02/2010 - Collateral passed by UCITS to OTC derivative counterparties (12 February 2010)
Policy Update 01/2010 - Information note on share classes in funds (9 February 2010)
UCITS IV Initiative
Finalised Directive 2009/65/EC published in Official Journal on 17 November 2009
Compliance Ireland Briefing Note - issued July 2008
Draft Directive (Agreed with European Parliament) - issued June 2009 (NOW OBSOLETE)
Draft Directive - as originally issued July 2008 (NOW OBSOLETE)
Press Release - issued July 2008
FAQs - issued July 2008
Regulation of Reinsurance Firms
Corporate Governance for Reinsurance Undertakings - December 2007 revised January 2010
Additional Requirements for Life Finite Reinsurance - January 2010
Additional Requirements for Non-Life Finite Reinsurance - January 2010
Additional Requirements for Financial Reinsuance - January 2010
Requirements for Composite Reinsurance Undertakings - December 2009
Requirements for Life Reinsurance Undertakings - December 2009
Requirements for Non-Life Reinsurance Undertakings - December 2009
Discussion Paper on Capital Requirements for Variable Annuities - August 2009
Guidelines for Insurance Undertakings on Asset Management - April 2008
Financial Reinsurance - April 2008
Guidelines on the Reinsurance Cover of Primary Insurers and the Security of their Reinsurers - April 2008
Special Purpose Reinsurance Vehicles - June 2007
Consumer Protection Code
Information Release on thematic inspection of Minimum Competency record-keeping - December 2009
Consumer Protection Code Addendum - May 2008
Minimum Competency Requirements Addendum - May 2008
Consumer Protection Code Clarifications Document - July 2007
Consumer Guide to the Consumer Protection Code - Your Little Red Book - July 2007
Financial Regulator Highlights Advertising Requirements of Consumer Protection Code - June 2007
Commencement Letter - April 2007
Protocol for consumer focussed intermediary inspections - November 2006
Consumer Protection Code - August 2006
Explanatory letter re Code and Minimum Competency - July 2006
Minimum Competency Standards - July 2006
Money Lenders - Consumer Protection Code
The Financial Regulator published a new statutory Consumer Protection Code for Licensed Moneylenders, alongside its Public Response to Consultation Paper 33. The code is aimed at leading to greater consumer protection. The General Principles of the moneylender’s code come into effect on 1 January 2009, with the remainder of the code coming into effect later in 2009.
Money Lenders - Consumer Protection Code - 3 December 2008
Public Response to Consultation Paper 33 - 3 December 2008
Financial Regulator Press Release - 3 December 2008
mortgage arrears - code of conduct
The Financial Regulator today (13 February 2009) published its Code of Conduct on Mortgage Arrears. This code takes effect from Friday 27th February 2009.
Code of Conduct on Mortgage Arrears - February 2009
business lending to small and medium sized enterprises
The Financial Regulator today (13 February 2009) published its Code of Conduct for Business Lending to Small and Medium Sized Enterprises takes effect from Friday 13th March 2009.
Code of Conduct for Business Lending to Small and Medium Sized Enterprises - February 2009 (effective March 2009)
Enforcement Actions
Settlement Agreement - Allied Irish Banks plc 21 May 2010 (Supplemental Information) NEW!
Settlement Agreement - Jim Mannion & Co. (Insurances) Ltd . 17 February 2010 (Supplemental information)
Settlement Agreement - McHugh O'Leary Insurance Brokers Limited 18 December 2009 (Supplemental Information)
Settlement Agreement - DEPFA ACS BANK 16 December 2009 (Supplemental Information)
Settlement Agreement - Pat Treacy Insurance Brokers Limited 5 November 2009
Settlement Agreement - Quick Quotes Limited 5 November 2009
Settlement Agreement - Merrill Lynch International Bank Limited 22 October 2009
Settlement Agreement - JD Murphy Investment Life & Pension Benefits (as sole trader and as partnership): 8 October 2009
Settlement Agreement - Mr. Michael Fogarty t/a Tom Fogarty Insurance Brokers: 29 September 2009
Settlement Agreement - Irish Life & Permanent: 3 September 2009
Settlement Agreement - John Gurhy: 8 April 2009
Settlement Agreement - Michael McGarrigle: 19 December 2008
Settlement Agreement - Hibernian Direct Limited: 28 November 2008
- Briefing Note by Compliance Ireland (28 November 2008) on Hibernian decision
Settlement Agreement - Quinn Insurance Limited and Mr Sean Quinn Senior: 24 October 2008
- Sean Quinn (senior), Quinn Insurance statement click here (copyright Sunday Business Post 25/10/2008)
Settlement Agreement - Irish Nationwide Building Society: 7October 2008
Settlement Agreement - Apex Fund Services (Ireland) and Messrs Bohan and Hughes: 22 August 2008
Settlement Agreement - Frank J Murphy Insurance Brokers & Mr Murphy & Ms Murphy: 11 July 2008
Settlement Agreement - OHC Insurances Limited: 17 April 2008
Settlement Agreement - Irish Times Limited: 11 April 2008
Settlement Agreement - Fexco Stockbroking Limited: 20 March 2008
Settlement Agreement - Marsh Ireland Limited: 6 March 2008
Settlement Agreement - Johnston Properties: 29 November 2007
Settlement Agreement - Don Harte / DGH Associates: 29November 2007
Settlement Agreement - Penfield Enterprises (Phoenix Magazine) and Mr John Mulcahy: 5 November 2007
Settlement Agreement - Marlboro Trust Limited: 10 July 2007
Settlement Agreement - Mr William Bradley t/a
Bradley Financial Services: 21 June 2007
Settlement Agreement - M.I.S Financial Services: 14 December 2006
Settlement Agreement - Broadstone Fund Management Limited: 30 June 2006
warning notices
The Financial Regulator publishes warning notices naming firms/persons, which operate, as investment business firms in Ireland without appropriate authorisation.
Latest -
21 April 2010: Parker Forrester (China, USA and Brazil), Jordan & Cole Investments Ltd. (Singapore, Panama, British West Indies, Bahrain and Taiwan) and London McFee Investment (The Netherlands). NEW!
21 January 2010: Equities Europe (Ireland) and Olta Capital Management Inc. (Ireland and Luxembourg)
17 September 2009: MJM Investments (Belgium), Montgomery Blake & Associates (China and Singapore) and The Morgan Stern Group (Ireland)
13 August 2009: CD Equities Global Equities Partnership (United Kingdom) and Green Care Investments (Ireland).
The full list of firms/persons the subject of a Financial Regulator warning is here
prospectus rules
Briefing Note - published 18 August 2008
Prosepectus Rules - published August 2008 (effective 15 September 2008)
Prospectus Rules (replaced) - effective March 2006
Guidance Note 1 - to 2006 Prospectus Rules
Guidance Note 2 - to 2006 Prospectus Rules
Guidance Note 3 - to 2006 Prospectus Rules
Guidance Note 4 - to 2006 Prospectus Rules
Guidance Note 5 - to 2006 Prospectus Rules
Guidance Note 6 - to 2006 Prospectus Rules
Guidance Note 7 - to 2006 Prospectus Rules
S.I 325 of 2005 - Prospectus Fee Regulations
Prospectus Directive Contact Details
EU Prospectus Directive 2003/71/EC
MARKET ABUSE ISSUES
Information Note - Short Selling (Published 20/01/2009) - The (Irish) Financial Regulator has cautioned market participants not to rely on incorrect information on Bloomberg screens regarding short selling in Irish Bank shares. The Financial Regulator confirmed that the ban remains in place on taking short selling positions, whether through shares or ADRs of Bank of Ireland, Allied Irish Banks and Irish Life and Permanent in London and other international trading venues as well as in Dublin. Click here
Briefing Note - published 19 September 2008
Financial Regulator Press Release on short-selling amendment to Market Abuse Rules published 19 September 2008.
Administrative Issues
2008 Financial Regulator Annual Report - Issued 21 July 2009
- Press Release - click here
2007 Financial Regulator Annual Report - Issued April 2008
Strategic Plan 2008-2010 - Issued November 2007
2006 Financial Regulator Annual Report - Issued July 2007
2006 Central Bank Annual Report - Issued 11 July 2007
2007 Guide to Industry Funding Levy Guide - Issued 2 July 2007
2007 Estimates of Income & Expenditure
Strategic Plan 2007-2009 - Issued 16 November 2006
Investor Protection & Bank Guarantee Scheme
10 September 2009 - Minister for Finance (Brian Lenihan, TD) publishes new National Asset Management Agency (NAMA) Bill 2009
- Minister Press Release - click here
- National Asset Management Agency (NAMA) Bill 2009 - click here
- National Asset Management Agency (NAMA) Bill 2009 Explanatory Memorandum - click here
- Earlier 30 July 2009 versions now redundant
- Minister Press Release - click here
- Proposal for NAMA Bill - click here
- Explanatory Memorandum to NAMA Bill - click here
23 June 2009 - Extension to Bank Guarantee Scheme likely. Click here
3 March 2009 - Report into Directors' loans at credit institutions covered under the Government Guarantee Scheme
- Briefing Note - click here
- Full Report - click here
27 February 2009 - Director's Loans disclosure requirements (applies to ALL credit institutions) - click here
20 February 2009 - Project Atlas - Anglo Irish Bank Corporation plc (Summary Report Extracts) - click here
- two page to a page version - click here
- Minister of Finance statement on Project Atlas Report - click here
20 February 2009 - Minister of Finance announcement on corporate governance concerns coinciding with release of Anglo Irish Bank acounts for yesr to September 2008. Click here.
21 January 2009 - Anglo Irish Bank Corporation nationalised (a sorry day for corporate governance in Ireland!)
- Law nationalising Anglo Irish Bank Corporation plc - click here
- Announcement by Minister of Finance - click here
- FAQs issued by Minister of Finance - click here
- Second reading of the proposed law (explanation of nationalisation) - click here
24 November 2008 - Financial Regulator issues amended guidance for securities covered by the Credit institutions (Financial Support) Scheme 2008
- Guidance Note No. 6 - Covered liabilities issued under the Credit Institutions (Financial Support) Scheme 2008 previously issued on 7 November 2008. This amendment states that the Committee of European Securities Regulators is currently considering issuing guidance relating to the disclosure in documentation where debt securities are guaranteed by a Member State.
30 September 2008 - Government Decision to Safeguard Irish Banking System
- The updated list of banks covered by the guarantee is available here.
20 August 2008 - Deposit Guarantee Scheme
- An explanation of the deposit guarantee scheme and investor protection scheme is available here
data protection
- See copies of various data protection papers we have written - click here
- 13 May 2009 - Annual Report Data Protection Commissioner and Press Release
- 02 February 2009 - Judgement of High Court in Realm Communications Ltd -v- Data Protection Commissioner (made 9 January 2009)
- 29 January 2009 - New Data Protection Audit Resource issued by Data Protection Commissioner (January 2009, Version 1.0)
- 28 January 2009 - EU celebrates 3rd Annual Data Protection Day
- 8 January 2009 - We have created a Schedule of Data Protection Law at http://www.privacy.ie/laws.html
- 21 December 2008 - Amendments to Irish regulations covering electronic unsolicited communications. See www.privacy.ie for more information on S.I 526 of 2008 (amending S.I. 535 of 2003)
- Data Protection Code of Practice for the Insurance Sector - Issued 20 August 2008
- See also www.privacy.ie for more details of our data protection services
Payment Services
European Communities (Payment Services) Regulations 2009
Financial Regulator Prudential Requirements October 2009
Financial Services Ombudsman
Here you will find copies of the case studies released by the Financial Services Ombudsman. These case studies are the copyright of the Financial Services Ombudsman.
Announcement of new Financial Services Ombudsman (Bill Prasifka) (15 February 2010) - NEW!
- see Hot Topic - click here
Appeal to High Court
- High Court Judgement Square Capital (August 2009)
- High Court Judicial Review - (under appeal) Davy (PDF Document - 5MB)
- Ombudsman's Decision (Word Document - 28KB)
- High Court Judgement - Ulster Bank (Word Document - 44KB)
- High Court Judgement - Quinn Direct (PDF Document - 1,008KB)
Case Studies
- December 2009 (PDF Document - 264KB)
- January to July 2009 (PDF Document - 168KB)
- December 2008 (PDF Document - 109KB)
- July to November 2008 (PDF Document - 324KB)
- January to June 2008 (PDF Document - 273KB)
- Enfield Credit Union / Davy Stockbrokers (PDF Document - 618KB)
- July to December 2007 (PDF Document - 193KB)
- October 2007 (PDF Document - 152KB)
- January to June 2007 (PDF Document - 180KB)
- July to December 2006 (PDF Document - 235KB)
- January to June 2006 (PDF Document - 203KB)
- October to December 2005 (PDF Document - 176KB)
- April to September 2005 (PDF Document - 187KB)
The Irish Financial Services Appeals Tribunal
Record number: 001/2007; In the matter of Part VIIA of the Central Bank Act 1942
Interesting UK FSA Directions and Enforcement cases
29 October 2008 - First MLRO fined by UK FSA
Given the significance of the fine, we have uploaded below and at www.antimoneylaundering.ie a briefing note and copy of the FSA decision to fine a Money Laundering Reporting Officer in October 2008.
- Click here for Briefing Note on Michael Wheelhouse, first MLRO to be fined by UK FSA.
- Click here for FSA Final Notice on Michael Wheelhouse
- Click here for FSA Final Notice on Sindicatum Holdings Limited
- Click here for FSA Press Release
31 August 2004 - Bank of Ireland fined £375,000 for AML failures by UK FSA
Click here for Briefing Note
Click here for FSA Final Notice on Bank of Ireland
Interesting Court Cases - NEW!
04 February 2010 - Shah & Mahbeer v HSBC Private Bank (deals with issue of STR filed by HSBC)
Compliance Ireland Regulatory Services Limited
Lower Ground Floor, 13 Adelaide Road,
Dublin 2, Ireland
email@complianceireland.com
tel: +353 1 425 5962
fax: +353 1 633 5005
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- Compliance Ireland created this page to help legal & compliance practitioners and regulators locate Irish and relevant international data often difficult to find on the internet.
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