Healy O'Connor

Regulatory Issues

We provide legal advice in all area of financial services regulation and we have many years of experience in dealing with compliance issues with the financial regulator.

We advise start-up businesses and their management teams on structuring proposed regulated activities. We advise on the need to put in place systems and controls, compliance procedures and customer documentation appropriate to the activities they propose.

We also help firms whose regulated activities are secondary to their main business and firms in sectors which are not regulated but which are nevertheless affected by regulatory requirements, particularly relating to money laundering and financial crime.

In addition we provide legal advice on the regulation of outsourcing agreements such as IT services, mortgage processing & collections and insurance claims handling.

For further information, legal and regulatory advice, please freephone 1800 54 54 54 or email info@hoc.ie.

All queries will be dealt with in strict confidence.