Changes or Amendments After Authorisation

After authorisation has been granted, firms must inform the Central Bank of Ireland of any of the following changes to their authorisation.

Central Bank of Ireland Portal Request Changes

The Request Changes outlined below are processed exclusively via the Central Bank of Ireland Portal:

(a) Change of Trading Name or Legal Name

Please upload a copy of the CRO certificate setting out the new trading name or legal name. An amended Certificate of Registration/Statement of Authorisation will be sent to the firm.

(b) Change of Address or Contact Details

Please submit a Request Change via the Central Bank of Ireland Portal if your address, phone number or email address has been amended. An amended Certificate of Registration/Statement of Authorisation will be sent to the firm (if applicable).

(c) Change of Investment Instrument/Services

Please confirm the type of investment business service that the firm wishes to add and confirm which product producer the firm will be offering this service through. In addition, please specify how the relevant individuals in the firm meet the Minimum Competency Requirements for that service.

(d) Replacement Statement of Authorisations/Certificate of Registration

If your Statement of Authorisation/Certificate of Registration has been mislaid or damaged you may request a replacement by submitting a Request Change via the Central Bank of Ireland Portal. Additional statements/certificates for branch addresses are also available by submitting a Request Change via the Central Bank of Ireland Portal.

(e) Change of person responsible for insurance distribution

Insurance Intermediaries must nominate at least one individual to act as a "person responsible for insurance distribution". This person must meet the Minimum Competency Requirements for the relevant class of insurance distribution. The appointment or removal of a person responsible for insurance distribution should be submitted as a Request Change via the Central Bank of Ireland Portal. An amended Certificate of Registration will be issued to the firm.

Post Authorisation Changes

Notification of the following changes should be sent to [email protected]. It is preferable to email the changes (or use the online reporting system where appropriate).

New Letters of Appointment

If you are a mortgage intermediary who has been issued a letter of appointment from a product producer, please submit a copy to the above email address and an amended mortgage authorisation certificate will be issued to you. Appointments issued to investment intermediaries under the Investment Intermediaries Act 1995 (as amended) should be notified to the Central Bank by the product producer. Appointments issued to insurance intermediaries under the European Communities (Insurance Distribution) Regulations 2005 do not need to be notified to the Central Bank.
Appointments withdrawn

If you are a mortgage intermediary who has been issued a letter of appointment from a product producer and that appointment has now been cancelled, please confirm this via the above email address and an amended mortgage authorisation certificate will be issued to you. The cancellation of appointments issued to investment intermediaries under the Investment Intermediaries Act 1995 (as amended) should be notified to the Central Bank by the product producer. The cancellation of appointments issued to insurance intermediaries under the European Communities (Insurance Distribution) Regulations 2005 do not need to be notified to the Central Bank.

Passporting details for Insurance Intermediaries

View details on Passporting under the European Union (Insurance Distribution) Regulations 2018.

Proposed Change to qualifying shareholding

Prior approval from the Central Bank of Ireland is required before a proposed acquiring transaction as defined under the Investment Intermediaries Act 1995 (as amended) can proceed. Further details are set out in the application form and on the Investment Brokers / Intermediaries page.

View Application Form.

Fitness and Probity

Director Retiring or Resigning
Please include the reasons for the retirement/resignation, the date of departure from the firm and confirm whether or not there are any issues of fitness or probity that we should be informed about. This amendment is made through the online reporting system, view guidance.
New Director being proposed

An online Individual Questionnaire (IQ) may need to be submitted for approval.

Investment Brokers/Intermediaries

There are additional ongoing requirements in relation to Investment Brokers/Intermediaries once they are authorised as set out in the Handbook of Prudential Requirements for Investment Intermediaries.