Our firm offers:
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a Prudential requirements audit
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a Consumer requirements audit
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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.
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.
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:
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Pre - Approved Control Function Return
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Annual Prudential Filing Return.
