MiFID Publications

Publications

The teams supervising MiFID investment firms in Central Bank of Ireland release a number of different publications, as listed below.

The Investment Forms Q&A (PDF 482.14KB) sets out answers to queries likely to arise in relation to the Central Bank Investment Firms Regulations, MiFID II and MiFIR. 

Thematics

Thematics are letters issued by the Central Bank in relation to themed inspections conducted by the Central Bank on the MiFID investment firm sector.

Thematic Assessment - Operational Resilience in the MiFID Investment Firm Sector 12 January 2026 | pdf 453 KB Thematic Review of the Annual Self-Assessment and Validation Process across Firms undertaking Algorithmic Trading Activity 2 November 2023 | pdf 825 KB Thematic Review of Algorithmic Trading Firms 11 May 2021 | pdf 372 KB Thematic Inspection of Cybersecurity Risk Management in Asset Management Firms March 2020 | pdf 231 KB Thematic Review of Suitability 29 August 2017 | pdf 615 KB Thematic Review Client Reporting 7 July 2016 | pdf 322 KB Thematic Review of Conflicts of Interest 25 February 2016 | pdf 183 KB Thematic Review of Cyber Security and Operational Risk 22 September 2015 | pdf 1575 KB Thematic Review on Client Categorisation under MiFID 19 June 2015 | pdf 155 KB Thematic Review of Data Integrity of Regulatory Returns 12 September 2014 | pdf 961 KB Best Execution under MiFID - Themed Inspection of Investment and Stockbroking Firms 2012 | pdf 75 KB Corporate Governance Standards - Themed Inspection of Investment Firms 2012 | pdf 291 KB

Letters 

Letters are released by the Central Bank which detail supervisory expectations and guidance on specific matters to the MiFID investment firm sector.

Dear CEO Letter - Common Supervisory Action on the MiFID II Marketing Communications Requirements | pdf 251 KB Dear CEO Letter - Central Bank of Ireland's expectations of investment firms when engaging in unregulated activities | pdf 85 KB Dear CEO Letter - Central Bank of Ireland's expectations of investment firms when engaging in unregulated activities | pdf 85 KB Dear CEO letter - MiFID Structured Retail Product Review | pdf 353 KB Industry Letter - Common Supervisory Action on MiFID II Costs and Charges Requirements | pdf 145 KB Dear CEO Letter - Targeted Reviews on Control Frameworks and Risk Appetite Statements in MiFID Investment Firms and Market Operators | pdf 141 KB

Papers

Papers are released by the Central Bank that communicate in-depth guidance, research findings, and technical analysis to the MiFID investment firm sector

Implementation of Competent Authority Discretions in the IFD Regulations and the IFR | pdf 784 KB CEBS Paper on the Internal Capital Adequacy Assessment Process for Smaller Institutions | pdf 248 KB Consumer Research Bulletin - Marketing and Advertising of Investment Products | pdf 578 KB Structured Retail Products – Further Supervisory Guidance | pdf 112 KB

Newsletters

The Investment Firm and Retail Intermediary Newsletter is a semi-annual publication that highlights topics of interest, regulatory updates, and matters that the industry need to be aware of.

Investment Firm and Intermediary Newsletter - June 2026 | pdf 663 KB Investment Firm and Intermediary Newsletter - November 2025 | pdf 399 KB Investment Firm and Intermediary Newsletter - May 2025 | pdf 525 KB Investment Firm and Intermediary Newsletter - November 2024 | pdf 1127 KB

Feedback welcome to investmentfirmsupervision@centralbank.ie.