Central Bank Compliance Audits

We provide a range of services for financial brokers that can help your business monitor, review, and identify any areas of weakness with a Central Bank Compliance Assessment. We can keep you informed, in a constantly evolving regulatory landscape, to ensure that your firm remains compliant.

Central Bank Compliance Review Includes:

  • Getting to know your business so that we can guide you through compliance
  • Ensuring your practices, policies and procedures are up to date
  • Reviewing your client files to ensure they are in line with regulatory requirements, such as the Consumer Protection Codes
  • Ensuring you and your staff are compliant under Fitness & Probity / Minimum Competency Requirements
  • Ensuring a robust complaints process is in place
  • Identifying any gaps in compliance and delivering to you a comprehensive report
  • Working with you on a compliance action plan

A robust compliance regime means that your business

  • Avoids loss of clients
  • Avoids reputational damage
  • Avoids enforcement action from the Central Bank of Ireland


We provide peace of mind that you are compliant with clients in all aspects of your processes

Book your compliance review today