Thematic Reviews 

One of the ways the Central Bank assesses compliance with applicable regulations in the Retail Intermediary sector is through thematic inspections. Thematic inspections focus on a specific topic or product rather than on a specific firm, and are carried out on a number of Retail Intermediaries for which the topic would be applicable. Feedback from thematic inspections is provided to the sector, and the findings from these reviews are also published on our website, typically in the form of an industry letter or report.

Thematic reviews are used to identify areas for improvement, good practices, trends and to facilitate the issuance of findings, expectations and outcomes to the sector. Individual remedial action against non-compliant firms may also be required following a thematic inspection.

Thematic Reviews can include: 

• On-site inspections;
• Desk-based reviews; and
• Continued supervisory engagement.
  

Or a mixture of the above.

Below are the relevant publications from recent thematic inspections undertaken in the Retail Intermediary sector.