COMPLIANCE CONSULTANCY
Compliance Services
We provide a hands-on compliance consultancy service to our clients. Our service covers:
- The Authorisation Process
Our experienced team will advise you on the appropriate authorisation (MIFID II, IIA, AIFMD etc) and then provide detailed support throughout the application process. - Amendments to Authorisation
When considering an expansion to your services our team will guide you through an amendment of your authorisation to meet the needs of your proposed expansion. - Post Authorisation
Once your entity has been authorised by the Central Bank of Ireland (CBI) we provide practical guidance on the development and implementation of Policies, Procedures, Systems and Controls to ensure compliance with your authorisation obligations - On-going support
On an on-going basis we can:- Develop annual compliance plans
- Undertake the compliance monitoring testing as set out in the Compliance plan and provide relevant reports to the entity’s board on Compliance
- Advise on any legislative changes and help with implementation of system’s changes resulting from these
- Regulatory Returns Support
We have a detailed knowledge of the regulatory returns required by the CBI. Our accountancy services include the completion and uploading of all such returns to the CBI online reporting system for sign off by the regulated entity, within the due deadline dates.
- Regulatory Audits
Our experience dealing with regulated entities allows us provide an efficient and professional audit service to regulated entities. Our service covers both:- Financial Statements and
- Client Asset Examinations
Further details on these services are set out in the Audit and Accounting section of our website.
- Other Compliance Services
We offer:- Once off reviews of specific areas of a regulated business either where the firm has been requested, by the CBI, or the entity feels such a review would be of benefit.
- Risk Governance reviews
- Support in developing and reviewing a firm’s Internal Capital Adequacy Assessment Process (ICAAP)
- Pre-CBI inspection reviews and practical guidance through an inspection.
- Support with CBI correspondence / queries including the implementation of Risk Management Programmes (RMPs) issued by the CBI following an inspection
- Guidance on complaint resolutions with clients
CONTACT O'CONNOR SHEEDY & CO
If you would like to contact us please phone us or complete some details below:
SEE WHAT BUSINESS OWNERS SAY ABOUT US
When I decided I wanted to start my own investment firm, Yvonne and her team were recommended as being an experts in the field of financial regulation. It became immediately apparent after the first meeting that Yvonne was exactly the partner I needed to secure the necessary authorisation. Her in-dept knowledge and experience together with her commerciality have been invaluable. With Yvonne's guidance we secured the necessary authorisation in a timely fashion and launched our new firm successfully.
Yvonne and her team of experts continue to provide us with ongoing compliance services, assisting in the preparation of regulatory reports, implementing all the necessary procedures and policies. In addition they also provide vital ongoing monitoring services to help ensure we consistently remain compliant in all aspects of our work.
I could not recommend a more knowledgeable and friendly firm for any business seeking to engage a professional advisor to assist with compliance services.
O’Connor Sheedy & Co have been providing Fitzgerald Brennan Asset Management Ltd (FBAM) with compliance consultancy services since 1999. We would describe their work as highly professional, knowledgeable, proactive, and tailored to our particular requirements. Importantly, they are flexible and solution orientated to our needs. O’Connor Sheedy deliver work on time and are a crucial resource in meeting our Regulatory and Compliance obligations.
