Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations 2017 [S.I. No. 604 of 2017]

Version status: Revoked | Document consolidation status: Updated to reflect all known changes

Published date: 21 December 2017

Consolidation Status: Updated to reflect all known changes

Comparing proposed amendment...


	Introductory Text
	Part 1 Preliminary and General (regs. 1-3)
Revoked	Regulation 1 Citation and commencement
Revoked	Regulation 2 Interpretation
Revoked	Regulation 3 Scope and application
	Part 2 General Supervisory Requirements for Investment Firms (regs. 4-8)
	Chapter 1 General Requirements (regs. 4-7)
Revoked	Regulation 4 Relationship with the Bank
Revoked	Regulation 5 Acquisition and disposal of assets
Revoked	Regulation 6 Internal audit requirements
Revoked	Regulation 7 Change in auditor
	Chapter 2 Reporting Requirements (reg. 8)
Revoked	Regulation 8 General reporting requirements for investment firms
	Part 3 Additional Supervisory Requirements for Investment Business Firms (regs. 9-13)
Revoked	Regulation 9 Organisational requirements - general
Revoked	Regulation 10 Organisational requirements - appointment of a compliance officer
Revoked	Regulation 11 Client borrowing
Revoked	Regulation 12 Books, records, financial control and management information
Revoked	Regulation 13 Telephone recordings
	Part 4 Fund Administrator Requirements (regs. 14-26)
	Chapter 1 Organisational Requirements (regs. 14-15)
Revoked	Regulation 14 Directors
Revoked	Regulation 15 Client Assets
	Chapter 2 Outsourcing Requirements (regs. 16-25)
Revoked	Regulation 16 Scope
Revoked	Regulation 17 Prohibition on outsourcing in certain circumstances
Revoked	Regulation 18 Outsourcing proposal notification to the Bank
Revoked	Regulation 19 Check and release of the Final NAV and prohibition on outsourcing of the maintenance of the shareholder register
Revoked	Regulation 20 Management of outsourcing risks
Revoked	Regulation 21 Outsourcing requirements - general
Revoked	Regulation 22 Documented policy on outsourcing
Revoked	Regulation 23 Outsourcing to be subject to a written agreement
Revoked	Regulation 24 Chain outsourcing
Revoked	Regulation 25 Annual return - outsourcing
	Chapter 3 Miscellaneous (reg. 26)
Revoked	Regulation 26 Fund prospectus
	Part 5 Own Funds and Capital Adequacy Requirements for Fund Administrators (regs. 27-46)
Revoked	Regulation 27 Interpretation
Revoked	Regulation 28 Fund administrator own funds requirement
Revoked	Regulation 29 Expenditure requirement - calculation
Revoked	Regulation 30 Expenditure requirement - notification of material change to Bank
Revoked	Regulation 31 Own funds
Revoked	Regulation 32 Common Equity Tier 1 - items
Revoked	Regulation 33 Common Equity Tier 1 - prudential filters and deductions
Revoked	Regulation 34 Additional Tier 1 - items
Revoked	Regulation 35 Additional Tier 1 - deductions
Revoked	Regulation 36 Tier 2 - items
Revoked	Regulation 37 Tier 2 - maturity of instruments
Revoked	Regulation 38 Tier 2 - deductions
Revoked	Regulation 39 Qualification
Revoked	Regulation 40 Permissions required
Revoked	Regulation 41 Own funds transitional measures
Revoked	Regulation 42 Own funds breaches or potential breaches
Revoked	Regulation 43 Fund administrator eligible assets
Revoked	Regulation 44 Risk analysis and capital adequacy assessment process
Revoked	Regulation 45 Own funds plan
Revoked	Regulation 46 Wind down plan
	Part 6 Client Asset Requirements (regs. 47-69)
Revoked	Regulation 47 Interpretation
	Chapter 1 General Requirements (regs. 48-58)
Revoked	Regulation 48 Segregation
Revoked	Regulation 49 Holding and depositing client funds
Revoked	Regulation 50 Holding and depositing client financial instruments
Revoked	Regulation 51 Registration of client financial instruments
Revoked	Regulation 52 Designation
Revoked	Regulation 53 Funds facilities agreement and financial instruments facilities agreement
Revoked	Regulation 54 Verification and third party confirmations
Revoked	Regulation 55 Collateral margined transactions
Revoked	Regulation 56 Securities financing transactions
Revoked	Regulation 57 Reconciliation
Revoked	Regulation 58 Daily calculation
	Chapter 2 Client Disclosure (regs. 59-61)
Revoked	Regulation 59 Information to be provided to clients in the terms of business
Revoked	Regulation 60 Client assets key information document
Revoked	Regulation 61 Statement of client financial instruments or client funds
	Chapter 3 Client Consent (reg. 62)
Revoked	Regulation 62 Client consent requirements
	Chapter 4 Risk Management and Assurance (regs. 63-65)
Revoked	Regulation 63 Risk management
Revoked	Regulation 64 Client asset management plan
Revoked	Regulation 65 Client asset examination
	Chapter 5 Outsourcing, Record-Keeping and Reporting Requirements (regs. 66-68)
Revoked	Regulation 66 Outsourcing requirements
Revoked	Regulation 67 Record-keeping - general requirements
Revoked	Regulation 68 Reporting requirements
	Chapter 6 Miscellaneous (reg. 69)
Revoked	Regulation 69 Application of provisions
	Part 7 Investor Money Requirements (regs. 70-83)
Revoked	Regulation 70 Interpretation
	Chapter 1 General Requirements (regs. 71-77)
Revoked	Regulation 71 General requirements and segregation
Revoked	Regulation 72 Holding and depositing investor money
Revoked	Regulation 73 Designation
Revoked	Regulation 74 Investor money facilities agreement
Revoked	Regulation 75 Verification and third party confirmations
Revoked	Regulation 76 Reconciliation
Revoked	Regulation 77 Daily calculation
	Chapter 2 Risk Management (regs. 78-80)
Revoked	Regulation 78 Risk management
Revoked	Regulation 79 Investor money management plan
Revoked	Regulation 80 Investor money examination
	Chapter 3 Outsourcing, Record-keeping and Reporting Requirements (regs. 81-83)
Revoked	Regulation 81 Outsourcing requirements
Revoked	Regulation 82 Record keeping - general requirements
Revoked	Regulation 83 Reporting requirements
	Part 8 Market Operators (regs. 84-96)
Revoked	Regulation 84 Interpretation
Revoked	Regulation 85 General capital requirement framework
Revoked	Regulation 86 Basic capital requirement
Revoked	Regulation 87 MORCAAP amount
Revoked	Regulation 88 Systemic capital add-on
Revoked	Regulation 89 MORCAAP - Internal assessment of capital required in stressed market conditions
Revoked	Regulation 90 MORCAAP - Capital required for orderly wind down
Revoked	Regulation 91 MORCAAP - Board approval
Revoked	Regulation 92 MORCAAP - Capital add-ons
Revoked	Regulation 93 MORCAAP - Documentation and submission to the Bank
Revoked	Regulation 94 Capital requirement framework report
Revoked	Regulation 95 General liquidity requirement
Revoked	Regulation 96 Liquid financial assets
	Part 9 Revocations and saver (regs. 97-98)
Revoked	Regulation 97 Revocations
Revoked	Regulation 98 Saver
	Schedule - Reporting Requirements
Revoked	Schedule, Part 1
Revoked	Schedule, Part 2
Revoked	Schedule, Part 3
Revoked	Schedule, Part 4
Revoked	Schedule, Part 5
Revoked	Schedule, Part 6
Revoked	Schedule, Part 7
	Given under
	Explanatory Note

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