CBI Enforcement Actions & Inspections

CBI Enforcement Actions & Inspections

Actions and Detail Panel


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This course will provide an insight into how the CBI conducts visits, what they expect and a framework or guidance for you/your firm.

About this event

The Central Bank of Ireland, (CBI) as regulator and Competent Authority for regulated entities operating in the financial services sector in Ireland. Under the Central Bank Act 1942, the Central Bank Reform Act 2010 and the Central Bank (Supervision and Enforcement) Act 2013, the CBI may take action against any regulated entity that is in breach of the obligations that are associated with its authorisation.

As the competent authority for supervision of regulated entities, the CBI will have an ongoing relationship with the entities that it regulates. The PRISM (Probability Risk Impact SysteM) system used by the CBI ensures that the greater risk posed to the financial system by an entity, the greater the interaction that entity will have with the CBI. This course will provide an insight into how the CBI conducts visits and what they expect and a framework or guidance for you/your firm on how to manage these interactions.

  • Central Bank of Ireland
  1. Basis for enforcement actions
  2. Administrative Sanctions regime
  3. Themed inspections
  4. Day to day interactions with CBI
  5. Dawn Raids
  • Review of enforcement actions and prohibition notices (samples of these)
  • Results of Inspections: how these are communicated
  1. Press Releases and Dear CEO letters

Who Should Attend:

Management and Directors with compliance responsibilities and who may be nominated by their employer as a point of contact with the Central Bank. Legal personnel. MLRO and any other senior management.

Relevant Firms: credit and financial institutions, credit unions, money lenders, insurance undertakings and intermediaries, investment firms (IIA and MiFID), fund managers and administrators, trust or company service providers, estate agents, legal professionals, virtual asset services providers or those working with cryptocurrencies, leasing companies, etc.


Accredited with the Institute of Bankers, Insurance Institute of Ireland and the LIA. Approval for other bodies can be obtained on request.

A CPD certificate will be issued along with a PDF version of the presentation upon course completion.

Cost: €295 per person.

Location: Webinar

 If you require further information please don't hesitate to contact us at:


+353 (0)1 539 4884.

Full RegSol training timetable HERE

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