Regulatory Requirements and Guidance
Client Asset Guidance
Guidance on Client Asset Regulations for Investment Firms March 2015 | pdf 1487 KB
Guidance on the revised Client Asset Requirements
The Central Bank has published Guidance for investment firms to assist industry in interpreting the revised Client Asset Requirements, as contained in the S.I.No.10 of 2023 Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations 2023 which will be applicable to investment firms from 1 July 2023 and credit institutions from 1 January 2024. The Guidance on the revised Client Asset Requirements will apply from those dates.
Guidance on revised Client Asset Requirements | pdf 1505 KB
On 3 February 2023, the Central Bank published an addendum to the Guidance on the revised Client Asset Requirements. This includes guidance in respect of the transfer of client assets as part of a transfer of business.
Addendum to Guidance on revised Client Asset Requirements - Transfer of Business | pdf 439 KB
Investor Money Regulations
The Central Bank has published Guidance for Fund Service Providers to assist Industry in interpreting the Investor Money Requirements as contained in Part 7 of the Investment Firms Regulations 2017.
Investor Money Requirements Guidance - December 2018 | pdf 846 KB
On 10 December 2018, the Central Bank published the second edition of the Investor Money Q&A.
Investor Money Requirements Questions and Answers - December 2018 | pdf 677 KB