Legislation

Legislation for the safeguarding of client assets and investor money is set out below. Where the links provided are to www.irishstatutebook.ie, users should note the disclaimer on the Irish Statute Book website. The following key legislation being set out below is non-exhaustive and is intended to serve as a general guide only.

Investment Firms Regulations

S.I. No. 604 of 2017 Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) Investment firms Regulations 2017

Revised Investment Firms Regulations

S.I. No. 10 of 2023 Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations 2023. The revised Regulations will revoke and replace S.I. No. 604 of 2017, the Central Bank (Supervision and Enforcement) Act 2013 Section 48(1)) (Investment Firms) Regulations 2017 (as amended) with effect from 1 July 2023.

Revised Client Asset Requirements are contained in Part 6 of the revised Regulations. The revised Client Asset Requirements include a transitional period for compliance and will be applicable to investment firms from 1 July 2023 and credit institutions from 1 January 2024.