Legislative Requirements and Guidance for Regulated Financial Service Providers

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 762 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)

Corporate Governance and Consumer Protection Codes

Introduction to Minimum Competency and the Minimum Competency Code (Note: the onus is on Regulated Financial Service Providers to determine if the Minimum Competency Code applies.)

List of PCFs and CFs

List of Pre-Approval Controlled Functions | pdf 203 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 1011 KB Guidance on Fitness and Probity Amendments 2014 | pdf 774 KB Guidance on PI and EMI Specific Requirements | pdf 1124 KB Fitness and Probity - Frequently Asked Questions 2018 | pdf 1115 KB IQ SAMPLE Template | pdf 1004 KB Online IQ User Manual | pdf 2388 KB