Legislative Requirements and Guidance Guidance for Brokers / Retail Intermediaries, Debt Management Firms
Note: The information on this page applies to some sectors only. Check the information for your sector.
Legislation
Act
The Central Bank Reform Act 2010
Regulations and Codes
Fitness and Probity Standards (Code issued under Section 50 of the Central Bank Reform Act 2010) (2014) | pdf 745 KB
Principle Regulations 2011 (S.I. No. 437 of 2011)
Amending Regulations 2011 (S.I. No.615 of 2011)
Central Bank Reform Act 2010 (Procedures Governing the Conduct of
Investigations) Regulations 2012
Amending Regulations 2014 (S.I. No. 394 of 2014)
Amending Regulations 2015 (S.I. No 545 of 2015)
Consumer Protection Codes
Introduction to Minimum Competency and the Minimum Competency Code
List of PCFs and CFs
List of Pre-Approval Controlled Functions | pdf 199 KB
List of Controlled Functions | pdf 46 KB
Guidance
Fitness and Probity Interview Guide | pdf 937 KB
Guidance on Fitness and Probity standards 2018 | pdf 988 KB
Guidance on Investigations under Part 3 of the Central Bank Reform Act 2010 (2011) | pdf 988 KB
Guidance on Fitness and Probity Amendments 2014 | pdf 757 KB
Fitness and Probity - Frequently Asked Questions 2018 | pdf 1115 KB
IQ SAMPLE Template | pdf 1004 KB
Online IQ User Manual | pdf 2333 KB