Institute of Internal Auditors annual conference, held on 9th October 2014

Kevin O'Doherty, Director of Compliance Ireland, spoke about corporate fraud.

Click here to download a PDF of his presentation.

 29th July 2016: Newsletter 07/2016

• Central Bank News
  • Central Bank publishes new Market Abuse Rules
• Financial Crime
  • Amendments to 4th AML Directive!
• MiFID News
  • Dear CEO Letter on Client Reporting Themed Inspection
• Enforcement
  • Settlement Agreement with The Mortgage Centre
  • Settlement Agreement with New Ireland Assurance Company plc
  • Settlement Agreement with AXA Insurance Limited
• Companies
  • Deadline for Company Conversion Almost Upon Us
• Data Protection & Privacy
  • Data Protection Commissioner's Report 2015
• Training
  • Now Taking Bookings for August - December

Click Here for a copy of Newsletter 07/2016
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19th May 2016: Newsletter 04/2016

• Central Bank News
  • Fitness and Probity: PCF's and Prohibition
• Banking
  • New Regulations on Business Lending to Small and Medium Enterprises effitive 1st July
• Consumer Protection
  • Central Bank publishes Consumer Research on Compliants Handling
• Data Protection & Privacy
  • New European Data Protection Regulsations
• Training
  • Course Dates for May - June 2016

Click Here for a copy of Newsletter 04/2016
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11th March 2016: Newsletter 03/2016

• Financial Crime
  • Central Bank Publish Report on AML/CFT in Life Insurance Sector!
• Enforcement
  • Settlement Agreement with Arch Reinsurance Europe Underwriting DAC
• Europe
  • European Union Publishes Fill List of the Level 2 Legislative Framework
• Data Protection Policy
  • Data Transfers to the United States post-abolitian of Safe Harbor
• Training
  • Course Dates for April - June 2016

Click Here for a copy of Newsletter 03/2016
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29th February 2016: Newsletter 02/2016

• Welcome
  • Credit Union Seminar Announcement
• Financial Crime
  • It's Not All About Anti-Money Laundering!
• MiFID News
  • Letter to Investment Firms on Conflicts of Interest after Themed Reviews
• Enforcement
  • Another Inquiry Announced
• Insurance News
  • Themed Inspections for Insurance Supervision Announced
• Training
  • Training Schedule March - June 2016

Click Here for a copy of Newsletter 02/2016
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29th January 2016: Newsletter 01/2016

• Welcome
  • AML - Statistics Before the Storm
• Central Bank News
  • Central Bank Appoints New Deputy Governor
  • High Court Rules Central Bank Inquiry can Proceed
• Insurance News
  • Solvency II is Here!
• Training
  • Course Timetable December 2015 - June 2016

Click Here for a copy of Newsletter 01/2016
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1st December 2015: Newsletter 11/2015

• Central Bank News
  • Central Bank publishes its Strategic Plan 2016-18
• Financial Crime
  • Report on AML/CFT and FS in the Funds Sector
• MiFID News
  • MiFID 2 unlikely to make full implementation deadline
  • Central Bank issues Dear CEO letter on CFDs
  • CP97 Consultation Paper on regulations for Investment Firms
• Enforcement
  • Central Bank convenes Inquiry into conduct of Quinn Insurance management
• Banking
  • CP98 Increased Protection for Variable Rate Mortgage Holders
• Insurance News
  • Central Bank Director of Insurance Supervision calls on firms to demonstrate ‘tone from the top’
  • Solvency II Directive transposed into Irish law
• Training
  • Course Timetable December 2015 - June 2016

Click Here for a copy of Newsletter 11/2015
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3rd November 2015: Newsletter 10/2015

• Central Bank News
  • The Central Bank of Ireland announce the Appointment of a New Governor
  • New PCF - "Head of Actuarial Function" required under Solvency II
• Financial Crime
  • AML – What does the future hold for Ireland?
• Enforcement
  • Settlement Agreement with Irish Taxi Owners' Co-Op Credit Union Limited
  • Settlement Agreement between the Central Bank of Ireland and Michael Hogan
• Training
  • Training November - December 2015
• Compliance Ireland in the Media and at Conferences
  • Irish Businesses face Increased Risk of Regulatory Sanction due to Tougher Anti-Money Laundering rules

Click Here for a copy of Newsletter 10/2015
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30th September 2015: Newsletter 09/2015

• Welcome
  • New CEO of Compliance Ireland
  • The Other Think That We do
• Central Bank News
  • CP95 Joint Consultation on Funding the Cost of Financial Regulation
  • Regulatory Consequences of Technology in Financial Services
  • Cyber-Security- Is your firm at threat?
• Data Protection & Privacy
  • Safe Harbour Agreement under threat!
• Training
  • Training October - December 2015

Click Here for a copy of Newsletter 09/2015
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25th August 2015: Newsletter 08/2015

• Welcome
  • Public Training Offer
• Central Bank News
  • Redress Schemes for Permanent TSB and AIB
  • Fitness and Probity FAQ's Amended
• Enforcement
  • Irish Nationwide Building Society - Settlement and Promise of an Inquiry
• Consumer Protection
  • Consumer Protection (Regulation of Credit Servicing Firms) Act 2015
• Training
  • Training Schedule September - December

Click Here for a copy of Newsletter 08/2015
Click Here for a copy of Newsletter 08/2015 in PDF Format

23rd June 2015: Newsletter 06/2015

• MiFID News
  • Results Themed Inspection on Client Categorisation
• Corporate Governance News
  • Fitness and Probity a Priority
• Banking
  • Implementing Technical Standards on Leverage Ratio disclosure and reporting published
  • Further Level 2 Regulation published on defining Own Funds in CRR
  • CRR Amending Regulation on Own Funds published
• Fund News
  • Central Bank issues Guidance for Fund Management Companies
• Intermediary News
  • The KIIDs are alright
• Companies
  • Companies Act 2014 Update from the Central Bank regarding Fund Companies
• Training
  • Seminars
  • Training Schedule

Click Here for a copy of Newsletter 06/2015
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26th May 2015: Newsletter 05/2015

• Seminar Announcement
  • Implementing Central Bank AML Guidance for Your Credit Union
• Corporate Governance News
  • Governance and Oversight of Outsourced Activities
  • The Constant Need for Effective Systems and Controls
• Enforcement
  • Western Union Fined for AML Breaches
  • Partner in Stockbroking Firm Disqualified for Regulatory Returns Breaches
• Companies
  • The Companies Act 2014 - Conversion to the New Company Form
• Europe
  • Sharp words exchanged on CRD4 Remuneration Policy
• Training
  • September to December Training Schedule

Click Here for a copy of Newsletter 05/2015
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28th April 2015: Newsletter 04/2015

• Seminar Announcement
  • Preparing for Change under the Companies Act 2014 - Guidance for Regulated Entities
• Corporate Governance News
  • Corporate Governance in 2015 - A New Legal and Regulatory Landscape
• Enforcement
  • Data Integrity - Provision of Timely, Complete and Accurate Information to the Central Bank
• Consumer Protection
  • Code of Conduct on Mortgage Arrears Still at the Forefront
• Funds News
  • ESMA publishes responses to Consultation on UCITS share classes
• Training
  • Training May - June 2015

Click Here for a copy of Newsletter 04/2015
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26th March 2015: Newsletter 03/2015

• Welcome
  • AML Guidance and Your Firm
• Central Bank News
  • Central Bank Announces Themed Inspections in Funds and Investment Areas
• Financial Crime
  • FATF revises lists of countries subject to measures
• MiFID News
  • Central Bank alerts CRD4 firms about public consultation on Remuneration Policy
  • Own Funds definitions in Capital Requirements Regulation amended again
  • EBA corrects validation rules for COREP reporting under CRD 4
  • European Commission publishes CRR Level 2 Implementing Regulation on internal models
  • EBA publishes revised taxonomy for CRD 4 reporting
  • EBA publishes CRR Level 2.5 measures on benchmarking of credit and market risk
• Insurance News
  • EIOPA publishes updated Solvency 2 reporting taxonomy
• Consumer Protection
  • Review of Debt Management Firms
• Training
  • Training Schedule April - June 2015

Click Here for a copy of Newsletter 03/2015
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24th February 2015: Newsletter 02/2015

• Seminar Announcement
  • AML in Practice: Implementation of Current Legislation and Guidance for 2015 and Beyond
• Central Bank News
  • Central Bank Publishs Consumer Protection Outlook Report
  • Regulatory Transactions Service Standards - Recent Statistics
• Financial Crime
  • Central Bank Publishes Report on AML, CTF and Sanctions Compliance in Banks
• Enforcement
  • Central Bank publishes its Enforcement Priorities for 2015
• UK News
  • Payday loans: loan caps now in place in the UK and Wonga escapes criminal investigation
• Europe
  • CRD IV - COREP reporting changes again
  • CRD IV - Implementing Regulation published on reporting of Liquid Assets
• Corporate Governance News
  • Weavering back again!
• Training
  • March - June Training Schedule

Click Here for a copy of Newsletter 02/2015
Click Here for a copy of Newsletter 02/2015 in PDF Format

30th January 2015: Newsletter 01/2015

• Welcome
  • To blow the whistle or not blow the whistle
• Financial Crime
  • Weavering Capital (UK) Limited founder convicted of fraud
• Banking
  • David Duffy to step down as CEO of Allied Irish Bank
• Europe
  • Capital Requirements Regulatory Updates
• Consumer Protection
  • New Consumer Protection Legislation for Credit Servicing Firms
  • Update to the Consumer Protection Code
• Training
  • Training Schedule February - June 2015

Click Here for a copy of Newsletter 01/2015
Click Here for a copy of Newsletter 01/2015 in PDF Format

3rd December 2014: Newsletter 11/2014

• Welcome
  • Central Bank Enforcement Seminar
  • Compliance and Risk Seminar for Credit Unions
• Central Bank News
  • Central Bank Redies Panel for Inquiries into Rouge Bankers
• Enforcement
  • The Central Bank of Ireland Steps up Consumer Protection Enforcement
• MiFID News
  • Two New CRD IV Regulations Published
  • Tree New CRR Regulations and Another CRD IV Regulation Adopted by EU Commission
  • Member State Compliance with ESMA Guidelines on Renumeration Policies and Practices under MiFID
• Banking
  • EBA Publishes Report into CRD Renumeration Policy Avoidance Practices
  • EBA PUblished 2014 Bank Stress Test Results
• Insurance News
  • Solvency II: EU Commission Adopts Level 2 Measures
  • EIOPA Submits First Set of Solvency II ITS to EU Commission
• Europe
  • EU Presidency Publishes Revised IMD2 Workding
  • European Parliment Decides What Work to Pursue from Previous Assembly
• Training
  • Training Schedule November - December

Click Here for a copy of Newsletter 11/2014
Click Here for a copy of Newsletter 11/2014 in PDF Format

30th September 2014: Newsletter 09/2014

• Welcome
  • Enforcement Seminar Date Amended - 12th December 2014
  • Credit Union Seminar Invitation
• Central Bank News
  • Amendments to the Fitness & Probity Regime
  • Are you a PCF 12 (Head of Compliance) or are you a PCF 15 (Head of Compliance with responsibility for AML/CTF)?
  • Credit Unions-Reporting Credit Linked Bank Bonds (Investment Class 3) in the Prudential Return
  • Thematic Review of Data Integrity of Central Bank Regulatory Returns
• Funds News
  • Central Bank Consults on Management Companies
  • Revisions to AIFM Regulatory Reporting Published
• Training
  • Course Schedule October - December 2014

Click Here for a copy of Newsletter 09/2014
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28 August 2014: Newsletter 08/2014

• Welcome
  • Compliance & Risk Seminar for Credit Unions
• Job Vacancies
  • Regulatory Trainer for Compliance Ireland
• Financial Crime
  • Criminal Justice (Terrorist Offences) (Amendment) Bill 2014
• MiFID News
  • EBA Published Revised CRD Reporting Taxonomy
• Insurance News
  • EIOPA Updated Solvency II Reporting Taxonomy
• Funds News
  • Corporate Governance Code for Fund Service Providers Published
  • Revised UCITS V Directive Word Published
• Data Protection & Privacy
  • Revised Guide to Audit Process Published
  • Final Provisions of Data Protection Acts Now in Force
• Training
  • Training Schedule Sept - Dec 2014

Click Here for a copy of Newsletter 08/2014
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30 July 2014: Newsletter 07/2014

• Welcome
  • Keeping CDD up-to-date – What the hell does it mean?
• Central Bank News
  • Central Bank announces appointment of Director of Insurance Supervision
  • Central Bank announces appointment of Registrar of Credit Unions
  • Central Bank Review of Sales Incentives
  • Consultation on loan originating QIAIFs
  • Consultation on the adoption of ESMA’s revised UCITS guidelines
  • Compliance with Advertising Rules under Consumer Credit Regulations
• Financial Crime
  • Compliance Ireland Develops AML Online Training for Fund Service Providers
• MiFID News
  • EBA final draft RTS on the margin periods of risk for treatment of clearing members' exposures to clients
  • EBA final draft RTS on conditions for assessing materiality of extensions and changes of internal approaches for market risk
• Banking
  • FATCA - It finally came to get us all!
  • EBA opinion on ‘virtual currencies’
• Funds News
  • Department of Finance publishes draft ICAV Bill
• Intermediary News
  • New Handbook of Prudential Requirements for Investment Intermediaries
• Europe
  • ELTIFs take a step closer to being
• Training
  • Training Schedule September to December 2014

Click Here for a copy of Newsletter 07/2014
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24 June 2014: Newsletter 06/2014

• Job Vacancies
  • Compliance Ireland is Hiring
• Central Bank News
  • Consultation on Additional Consumer Protection Requirements for Debt Management Firms
• Financial Crime
  • 4th EU AML Directive - Current Status
  • Compliance Ireland develops AML online training module for Fund Service Providers
• Enforcement
  • Firm's failure to monitor changes in legislation
• MiFID News
  • MiFID II and MiFIR Level 2 and Level 2.5 work gets underway
• Banking
  • EBA publishes Leverage Ratio ITS
• Insurance News
  • Solvency II: EIOPA consultation on guidelines
• Europe
  • Consultation on Pillar 3 public disclosures
  • You think you're important - does the European Commission agree?
• Training
  • September - December 2014 Training Schedule

Click Here for a copy of Newsletter 06/2014
Click Here for a copy of Newsletter 06/2014 in PDF format

27 May 2014: Newsletter 05/2014

• Financial Crime
  • Credit Suisse Fined $2.8 Billion for Aiding Tax Evasion
  • Directive on freezing and confiscation of proceeds of crime approved
• Enforcement
  • Settlement Agreement with FBD Insurance plc
  • Settlement Agreement with Squared Financial Services Limited
• Europe
  • European Commission looks back on financial crisis achievements
• Corporate Governance News
  • Changes to UK Corporate Governance Code proposed
• Data Protection & Privacy
  • European Court of Justice Rules on the Right to be Forgotten
• Training
  • June 2014 Training Schedule

Click Here for a copy of Newsletter 05/2014
Click Here for a copy of Newsletter 05/2014 in PDF format

29 April 2014: Newsletter 04/2014

• Welcome
  • The Ugly Truth of Anglo & the Regulator
• Central Bank News
  • Addendum to the Minimum Competency Code 2011
• Financial Crime
  • First national risk assessment of money laundering and terrorist financing risks undertaken in UK
  • European Parliament adopts position on 4th AML Directive
• Enforcement
  • Settlement Agreement with LGT Capital Partners (Ireland) Limited
• MiFID News
  • European Parliament approves its version of MiFID 2, MiFIR
• Banking
  • ECB to gain sanctioning powers over Irish banks, but not Irish bankers
• Funds News
  • European Parliament approves UCITS V Directive
• Europe
  • European Long-Term Investment Funds: Compromise Proposal published
  • ECB issues Regulation on the SSM Framework
• Training
  • May - June 2014 Schedule

Click Here for a copy of Newsletter 04/2014
Click Here for a copy of Newsletter 04/2014 in PDF format

27 March 2014: Newsletter 03/2014

• Welcome
  • New Director of Credit Institutions announced at Central Bank
• Central Bank News
  • Consultation Paper 79 on Whistleblower and Mandatory Disclosure Handling
  • Consultation Paper 80 on CRR Liquidity Coverage Ratio issued
• Funds News
  • Consultation Paper 78 on carrying out 'Depositary Lite' duties under AIFMD
• Enforcement
  • Yet another Settlement Agreement for breach of Transaction Reporting Requirements
  • Settlement Agreement with Unicredit Bank Ireland plc
• Europe
  • European Commission publishes draft Regulation on Supplemental Prospectuses
  • European Commission publishes CRD IV criteria to identify 'material risk takers'

Click here for a copy of Newsletter 03/2014 online
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27 February 2014: Newsletter 02/2014

• Central Bank News
  • Revised Corporate Governance Code for Credit Institutions and Insurance Undertakings
• Financial Crime
  • Central Bank to Regulate Trust and Company Service Providers for AML
  • Princess Cristina of Spain in Court Over Alleged Money Laundering
  • Ted Cunningham Pleads Guilty to Money Laundering
• Enforement
  • Financial Services Ombudsman Can Name and Shame
  • 12 Month Non-Solicitation Period for Insurance Brokers Confirmed
• Europe
  • EBA Proposes a Definition of 'fixed overheads' and Capital Charge for use of Tied Agents
  • EBA publishes standard on classes of instruments eligible for variable remuneration use under CRD IV
• Training
  • Date March - June 2014

Click here for a copy of Newsletter 02/2014 online
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28 January 2014: Newsletter 01/2014

• Central Bank News
  • Central Bank Streamlines MiFID Authorisation Process
  • Central Bank Review of Sales Incentives
  • New Compliance Statement for (Re)Insurance Undertakings
• Financial Crime
  • FCA AML Enforcement Actiom Against Standard Bank PLC
  • Bailey Brothers Disqualified for Seven Years
  • Bitcoin Traddrs Charged with Money Laundering
• Funds News
  • Sectoral AML Guidelines Published for Investment Funds
  • Central Bank Consultation on UCITS Funds Rulebook
• Enforcement
  • Settlement Agreement with AIB
• Training
  • February - June 2014 Training Timetable

Click here for a copy of Newsletter 01/2013 online
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