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 list is not 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 

Final form Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations [2022]. These revised Regulations will not be subject to further change and are expected to be published in the Irish Statute Book in H2 2022. 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.

Final form Investment Firms Regulations | pdf 2312 KB