Requirements, PCF Assessment and Ongoing Compliance for Brokers / Retail Intermediaries, Debt Management Firms

The Fitness and Probity Regime places obligations on Regulated Firms in relation to the ongoing application of the Standards of Fitness and Probity and in terms of seeking Central Bank pre-approval for individuals who are proposed to take up a PCF.

Due to certain variations in the regulatory requirements and PCF assessment process for different sectors, details of regulation, PCF authorisation and assessment have been categorised by sector. For each sector, information is available to assist Regulated Firms and individuals performing CFs and PCFs to comply with their Fitness and Probity obligations:

• Regulatory requirements
• Roles subject to the Fitness & Probity Regime and Minimum Competency Code
• Statutory codes and guidance documents.

The sections below also include details about the PCF assessment process, including details on how to complete an Individual Questionnaire (IQ) and submit it to the Central Bank, as well as details of ongoing compliance requirements.

For more details relating to your specific sector, click on the relevant section below.

Explore this Content

• Introduction
• Legislative Requirements and Guidance
• PCF Assessment
• Ongoing Compliance

This content covers Requirements, PCF Assessment and Ongoing Compliance for Brokers / Retail Intermediaries, Debt Management Firms. Click here to find information for other sectors.