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 third edition of the Central Bank Investment Firms Regulations which will be applicable to investment firms from 1 July 2023 and credit institutions from 1 January 2024. The revised Guidance will also apply from those dates.

Guidance on revised Client Asset Requirements | pdf 1505 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