Investment Business Compliance Manual (ROI)
The simple, no-nonsense guide to getting it right, all on one manual! The manual will assist in compliance with the CAI Conduct of Investment Business Regulations to ensure that all work is done to a uniform standard and in accordance with the firm's compliance procedures.
The manual will assist in compliance with the CAI Conduct of Investment Business Regulations to ensure that all work is done to a uniform standard and in accordance with the firm's compliance procedures. The manual comes complete with on-screen documents which cover the areas of:
- An introduction to and overview of the regulatory environment and CAI Investment Business Regulations
- Details of how to apply the CAI Regulations in practice when advising clients on pension, protections and investment products (including tax efficient investment schemes)
- Administration (including engagement letters)
- Fact Find
- Research and Recommendations
- File Completion
It will also provide you with memoranda and forms that you need to ensure everyone in the firm is aware of the required procedures and that they comply with them.
March 2025
The content of the manual has been updated with recent changes to the professional indemnity insurance requirements which apply to firms authorised to conduct investment business activities under the Chartered Accountants Ireland Investment Business Regulations (IBRs).
August 2024
The content of the manual has been updated with recent changes to the professional indemnity insurance requirements which apply to firms authorised to conduct investment business activities under the Chartered Accountants Ireland Investment Business Regulations (IBRs).
November 2021
This update deals with:
- Criminal Justice (Money Laundering and Terrorist Financing) Acts 2010 to 2021 - references in sample engagement letters to relevant anti-money laundering legislation have been updated,
- CAI Investment Business Regulations, dated 5th January 2021 - the revised Regulations reflect new legislative references (Companies Act 2014) and replace references to the Chartered Accountants Regulatory Board (CARB) with the Professional Standards Board (the Board); and
- CAI's Code of Ethics, dated 1st March 2020 - the revised references to the new Code of Ethics have been reflected within the manual.
Previous version, dated May 2019, included money laundering related amendments released in May 2019.
| Annual subscription fee | |
|---|---|
| Number of principals within the firm - 1 | €345.00 |
| Number of principals within the firm - 2-4 | €660.00 |
| Number of principals within the firm - 5-9 | €925.00 |
For 20 or more principles, please contact us at sales@mercia-group.com.
All prices are subject to VAT. Prices are subject to change on 1 July.
Mercia online manuals are updated regularly by our technical staff and you will be notified of any significant regulatory changes by email.
Your subscription will automatically auto-renew on anniversary date, you will be notified by email before your subscription expires and offered the option to opt out of auto-renewal.
Internet access.
Operating System: Windows, Mac IOS.
Applications: Full version of Microsoft Office or Mac equivalent, PDF Reader.
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For more details and to place an order, please call (+353) 01 809 0080 or email enquiries@merciaireland.com
