Regulatory Advice

Regulatory Compliance & Advice.

The Financial Services Industry in Ireland and further afield has undergone enormous change over the last number of years. Advances in technology (Fintech) and ever changing regulations has impacted on how Regulated Financial Service Providers carry on their business.

Our Risk and Regulatory Consulting team have extensive experience across a broad spectrum of Regulatory Compliance activities.

We work with insurance, wealth management and other financial services firms to understand, assess and act on the changing industry dynamics which impact on our clients day to day activities.

We provide the following:

  • Authorisations: Exploratory & Application services in relation to authorisations as a financial services providers, including branches and subsidiaries of European and third country institutions.
  • On-Call Advice: Advice and guidance on the ever changing regulation, risk and compliance areas from experienced experts.
  • Business Process Improvements: Challenge and assessment versus regulatory requirements and guidance. Framework, policy and procedure development and review.
  • Compliance Policy Documents: Provision of a full suite of firm specific policy documents.
  • Training: Provision of training across a wide range of regulated activities.
  • Identification and Acquisition of Potential Targets. Whether you have a Buy and Build Strategy or are seeking a strategic acquisition we can help you in your search.
  • Sourcing of Independent Directors: A key requirement for any regulated firm is to have a fully diversified board with key competencies, we can help you source the best available candidates.
Book a meeting with one of our advisors now!

What Our Clients Are Saying

Nursing Home OwnerJune 2020
Cap Corporate Finance acted on our behave to secure a suitable buyer for our nursing home. The process was efficient from start to completion and most importantly was confidential.
Electrical Distribution May 2018
We were delighted to use Cap Corporate Finance to sell our business. They provided a great efficient service resulting in a quick sale of our business.

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