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Suitability Requirements

In accordance with the Rules of the ISE a member firm must at all times satisfy the ISE that it: 

  • is fit and proper to carry out its activities on the ISE; and
  • has adequate trade execution, recording, reporting and settlement procedures and systems as required under its membership; and
  • has adequate internal controls and risk management procedures including adequate compliance and business recovery arrangements in place; and
  • has sufficient financial resources for the role it performs where it guarantees the settlement of on-exchange trades, and
  • has adequate organisational arrangements and resources including staff with sufficient knowledge, competence and experience to perform its activities effectively; and
  • has a nominated compliance officer(s) who shall be competent to advise the firm and its employees of the interpretation and application of the Rules and all other relevant regulatory requirements.

 

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The Irish Stock Exchange plc is regulated by the Central Bank of Ireland.
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