EisnerAmper Ireland | Regulatory Advisory Support | Financial Services Ireland

EisnerAmper Global

Regulatory Advisory Support

Our Risk & Regulatory Group provides pragmatic operational support to businesses pursuing regulatory authorisation and regulatory engagement support.
1. Regulatory Authorisation Application Support

We deliver specialist Regulatory Authorisation Application Support Services to ensure businesses can enter the Irish and European markets in an efficient and compliant manner.

By partnering with EisnerAmper Ireland, we guide and support you through your Central Bank of Ireland application process and with ongoing regulatory engagement. This results in:

  • An approach flexed to meet your needs, from:
  • – “the guard-rail” approach (to keep you on track), through to
  • – “the heavy lifting” approach (drafting the full documentation suite);
  • Improved efficiency of the application process;
  • Reduced input from you; and
  • Reduced risk of delays.
Our Regulatory Authorisation Application Support Services typically include:
  • Initial consultation and needs assessment;
  • Advice on the relevant regulations;
  • Workshops to ensure adequate substance and a robust programme of operations and business plan;
  • Project management through all stages of the application;
  • Input to and preparation of the authorisation application for submission; and
  • Set-up support – office space, banking arrangements, INEDs, PCFs, audit, internal audit, management accounting, payroll, tax, compliance and risk services.
2. Regulatory Engagement Support

We also support you throughout the Regulatory Engagement Lifecylce to ensure you have a centralised and governed Central Bank of Ireland engagement plan and process and an efficient reporting and regulatory response framework.

Our Regulatory Engagement Support Services typically include:
  • Initial consultation and assessment;
  • Advice on Best Practice;
  • Review of Engagement Process;
  • Review of Reporting Process; and
  • Centralised Framework for Regulatory Engagement.
Case studies

Below are some examples of how we have helped our clients:

Retail Intermediary
Retail Intermediary

A UK-based MGA (Lloyd’s Agent) required incorporation and authorisation support services. As part of an end-to-end solution we provided the following:

  • Authorisation support services including preparation of business plans and programme of operations;
  • Weekly conference calls with relevant stakeholders;
  • Establishment and incorporation of an Irish company;
  • A robust suite of policies and procedures;
  • Payroll, management accounting and tax services; and
  • Head of Compliance (PCF).

As a result of engaging EisnerAmper, our client delivered on their project on time and is now operating in Ireland and France seamlessly and compliantly.

MiFID Firm - Financial Securities
MiFID Firm - Financial Securities

A UK-based proprietary trader specialising in ETF strategies required incorporation and ongoing support services. EisnerAmper were engaged to provide:

  • Central Bank of Ireland authorisation support services including preparation of business plans and programme of operations;
  • Discussions and advice on setting up in Ireland; and
  • Preparation of a compliance monitoring plan.

As a result of the engagement, the UK-based proprietary trader now has a board approved strategy for operating in Europe.

Get specialist support request a callback now.

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