Compliance SupportFor New Broker Membership Applications
One of the major challenges Brokers currently face is the volume of legislative and regulatory requirements which they must comply with. Brokers Ireland aims to help members and their staff to practically comply with all Legislation & Compliance obligations by providing guidance in relation to the various requirements. This information is comprehensively outlined within the dedicated Compliance Support section of the website which is accessible to members.
Brokers Ireland has four dedicated compliance staff to assist and support our members. If you have a query please email email@example.com or alternatively call the Compliance unit on 01 661 3067
Compliance Support – How Members Can Benefit
- Assist members with compliance queries in relation to all legislation which affects them via firstname.lastname@example.org
- A secure login section dedicated to compliance and regulation only.
- Monthly e-zine on current compliance issues.
- Monthly compliance section in Irish Broker Magazine.
- Organised compliance workshops regionally on topics as required by members.
- Regional Ethics seminars for members and staff.
- Money laundering training.
- Provide tutorials for staff sitting regulation exams
- Respond to Central Bank consultation papers on behalf of members.
- Provision of template documents for use by members (including):
- Terms of business
- Statements of Suitability Guidelines
- Procedures Manuals
- Staff Register Templates
- Contract of Employment templates
- Due Diligence procedures for Fitness and Probity