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Regulatory Enforcement

The Regulatory Enforcement Group is a team of lawyers focused on providing a rapid response to clients in regulatory enforcement situations.

The team includes lawyers specialising in all areas of financial services, including banking, asset management and investment funds, insurance and pensions. Lawyers practising in company law, competition law, litigation and data protection also support the Group’s work.

Our clients include State Authorities and Regulators, fund managers, investment funds, financial institutions, insurers and reinsurers, public companies and other businesses. We advise on the full range of regulatory, compliance and enforcement issues.

We have unrivalled experience in advising clients on enforcement actions involving State Authorities including the Financial Regulator, the Director of Corporate Enforcement, the Financial Services Ombudsman, Data Protection Commissioner, An Garda Síochána, the Takeover Panel and the Competition Authority.

Experience

We have a proven track record of supporting our clients in relation to:

inspections by the Financial Regulator under MIFID and the UCITS legislation and compliance with post-inspection reports
breaches of strategic and required solvency margin requirements by insurers and reinsurers
on-site inspections by the Financial Regulator
obligations of listed companies and brokers under the Market Abuse Legislation
inspections by the Director of Corporate Enforcement
compliance obligations of listed companies under the Transparency Regulations and Listing Rules
enforcement steps in relation to breaches of consumer credit legislation
investigations of public companies by the Takeover Panel
audits and actions by the Data Protection Commissioner
examinations and inquiries by the Financial Regulator
the Financial Regulator’s administrative sanctions procedure
breaches of notification to the Financial Regulator in respect of changes in qualifying holdings

Areas of Expertise

The team includes lawyers specialising in all areas of financial services:

Banking
Asset management
Investment funds,
Insurance
Pensions
Company law
Competition law
Litigation
Data protection

Related Areas

Competition & Regulation

Technology

Practice Areas

Regulatory Enforcement

The Regulatory Enforcement Group is a team of lawyers focused on providing a rapid response to clients in regulatory enforcement situations.

Key Contacts

Shane Kelleher

Garrett Breen

Hilary Rogers