#CP86

QUALITY CHECK NOW. 

NO EXPENSIVE SURPRISES LATER.

 

#CP86 SITUATION

Changes are afoot as a result of the Central Bank's desk based review for CP86 compliance. 

You want to ensure your house is in order and take all necessary measures to avoid expensive surprises down the road. 

You have a CP86 infrastructure in place. You want to quality check what you have with best practices with the intention of closing any gaps that may come to light. 

You want to compare and contrast your in-house system with a CP86 best practice system. 

#CP86 SOLUTION

Being prepared is the plan. 

Know what to expect is the benefit. 

Having the time and resources to hand to close the gap between where you are today and where best practices says you should be will be met with a comfortable project plan and timeline. 

THE CP86 QUALITY CHECK ADVISORY PROGRAMME

Objectives, Outcomes & Value

QUALITY CHECK

Objectives:

Short-term:  

 

Be prepared. 

Know what to expect. 

Get in front of any discrepancies on your own timeline. 

Long-Term: 

Regulator Intelligent is good for business. 

#CP86Solution

QUALITY CHECK

Success Indicators:

Your CP86 infrastructure is upgraded from what it is now, to be more in line with best practices. 

#CP86Solution

QUALITY CHECK

Value:

  • Regulator Intelligent is more than just avoiding regulatory fines. It ensures you are improving your relationship with the Regulator

  • Avoid any costly surprises down the road. 

  • Strengthen your position with your people and your market by reaffirming your compliance in the area of CP86

  • Support front line staff and reduce staff turnover by providing training and a framework that helps them understand their roles and what is required of them

#CP86Solution

MEET YOUR FACILITATOR

As the former head of the Central Bank’s Funds Policy Team and the Central Bank of Ireland’s Project Lead on CP86, Daniel was involved in designing, drafting and implementing regulatory initiatives affecting the funds industry from 2010 to 2017. 

With an intimate knowledge of CP86 coupled with the perspective of an ex-regulator, Daniel is in a unique position to help firms improve their relationship with the financial regulator by becoming Regulator Intelligent.

 

Before joining the Central Bank, Daniel worked as an investment funds lawyer for 9 years at William Fry, one of Ireland’s leading law firms.   


Today, Daniel is MD of Aquest; a boutique firm dedicated to improving your experience with the financial regulator.  

A 22-PART #CP86 QUALITY CHECK

Programme

4 to 6 weeks

Phase 1

Lay of the Land Workshop

Best Practice vs. your firm

To allocate regulatory responsibilities to individual Designated Persons for oversight and to specific individual delegates for performance; to set the frequency of reporting by delegates to Designated Persons and by Designated Persons to board; and to set escalation parameters.

#CP86Solution

PHASE 2

pre-built CP86 

infrastructure as best practice

To put in place a comprehensive set of policies and procedures that ensures your Firm's regulatory requirements are complied with and that allocates responsibility for performance to a specific delegate(s) and oversight to a specific Designated Person

#CP86Solution

PHASE 3

Wrap-up

Plan to close the gap

To design and implement the Organisational Effectiveness Role for Amundi in a way that complies with the requirements of CP86, that meets the Central Bank’s expectations and that adds value to the governance and operation of your Firm

#CP86Solution

Regulator Intelligence

It's good for business, and it's free. Sign up here:

About Aquest

Advisory Firm and Virtual Academy for Regulated Financial Services firms wanting access to insights, training and guidance on how to be Regulator Intelligent from authorisation to sanctions, new legislation, and everything in between.

Services

Regulator Intelligent; improving your relation with the Regulator. 

 

Programmes for Banks, Admins, Depos, ManCos spanning how to interpret, implement and measure your firm's degree of compliance compared with best practices. 

Contact us

To book a programme, workshop, keynote email Anne@Aquest.ie

To have Daniel Lawlor speak at your event, please email Anne@Aquest.ie

To join our Online Academy, email Anne@Aquest.ie

11 Wynnefield Road, Dublin 6, Ireland

Anne@Aquest.ie 

Copyright: 2019 Aquest Ltd.

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