Kian Caulwell Partner, Head of Financial Services Consulting
Kian Caulwell is a partner and Head of Financial Services Consulting, responsible for delivering regulatory consulting and risk assurance services to our financial services clients. He is an Irish chartered accountant and Certified Ethical and Cultural Advisor with over 15 years financial services experience. Kian advises financial services institutions in banking, asset management, payment services and leasing. In addition, he has significant experience acting for and on behalf of European central banks including, the Central Bank of Ireland, the Financial Conduct Authority and Prudential Regulation Authority in the UK.
Kian and the financial services consulting team have in-depth technical knowledge of anti-money laundering and countering terrorist financing, conduct risk (consumer and investor protection), corporate governance, fitness and probity, operational risk, credit risk and risk management frameworks.
Some of the solutions and services he provides to clients include regulatory authorisation, remediation and implementation support, skilled person investigations and independent outsourced assurance reviews.
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Pages associated to Kian Caulwell
Industries
Services
- Conduct risk management
- Understanding Investment Firm classifications under the Investment Firms Regulation (IFR) Directive (IFD)
- Liquidity requirements for investment firms
- Outlining the Disclosure and Reporting Requirements for Investment Firms under IFR/IFD
- Class 2 investment firms: remuneration requirements
- EBA releases draft Regulatory Technical Standards on requirements for qualifying holdings in ART issuers
- Standardising the whitepaper approval process for Asset-Referenced Tokens issued by credit institutions
- Streamlining applications for Asset-Referenced Tokens offerings and trading listings.
- Investment Firms Regulation (IFR) and Directive (IFD): An Overview
- Prudential consolidation and derogations applicable to investment firms
- Consulting
- Management consulting
- Risk consulting
- Internal audit
- Regulatory compliance
- Governance
- Individual Accountability Framework (IAF) & Senior Executive Accountability Regime (SEAR)
- Third party risk management & assurance
- Digital Operational Resilience Act (DORA)
Insights
- Corporate governance expectations of the board of directors in regulated firms
- Individual Accountability Framework (IAF)
- The first Individual Accountability Framework awareness and readiness survey report
- The Individual Accountability Framework report - November 2022
- Individual Accountability Framework (IAF) Awareness and Readiness survey 2023
- CBI updated regulations leave core IAF requirements intact
- Compliance officers in early-stage firms
- Mazars advises Clear Group on acquisition of MBC Insurance
- The critical role of a firm’s AML risk assessment framework
- Mazars advises PIB Group on acquisition of Halligan Insurance
- Summary of the Central Bank of Ireland 'Dear CEO' letter for payment and e-money firms
- Digital Operational Resilience Act (DORA), the clock is ticking
- The Irish Accountability Framework
- Mazars appoints new partners across financial services and audit
- What is an IAF and SEAR - Individual Accountability Framework and Senior Executive Accountability Regime?
- Banking & financial services news
- Payments and Electronic Money Institutions – Focus on Safeguarding
- Preparing for a Central Bank inspection