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Publications

Regulatory Investigations

The Dillon Eustace Regulatory Investigations Unit has experience in advising regulated entities and their senior management on all aspects of regulatory investigations. The Unit is made up of experienced financial services and former Central Bank Enforcement lawyers and litigators.

We act for insurance companies, personnel/executives of regulated entities, investment firms, funds and fund managers and credit unions. The Unit’s experience includes advising on the following:

  • investigations by the Central Bank of Ireland, the Office of the Director of Corporate Enforcement and the Chartered Accountants Regulatory Board, statutory and non statutory enquiries;
  • advising on the exercise of other elements of the regulatory enforcement “toolbox”, such as Authorised Officers’ powers, directions and requirements and Skilled Persons’ Reports;
  • preparation for and responses to themed Inspections and Risk Mitigation Programmes;
  • advising providers/product producers and intermediaries on dealing with customer redress;
  • negotiating settlements with the Central Bank of Ireland and other regulatory entities;
  • advising on fitness and probity matters raised by the Central Bank of Ireland;
  • taking cases before the Irish Financial Services Appeals Tribunal;
  • acting on behalf of various financial service providers in relation to complaints made against them to the Financial Services Ombudsman;
  • advising witnesses who have been called to give evidence at other inquiries/investigations, such as fitness to practise hearings and the Banking Inquiry.

To find out more about the unit and its work you can download and read our brochure here.