Complying with FCA and CBI Regulatory Obligations

As a result of Brexit uncertainty, many UK financial services firms have sought to create new legal entities in Europe. Ireland has proven a popular destination with a number of FCA regulated firms creating entities within the country. These will be regulated by the Central Bank of Ireland, bringing a number of similarities and differences to FCA CASS rules.

What does this mean for asset management firms and banks currently working to the FCA’s CASS compliance standards? What changes have to be made for operations in Ireland?

Our paper offers a comparison between the CASS regulations enforced by the FCA and Investor Money Regulations enforced by the CBI including:

• Segregation
• Un-allocated and Unidentified Client Money
• Record Retention & Reporting Requirements


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