As well as being subject to the regulatory requirements that derive from Irish legislation investment business firms authorised under the IIA are also subject to various other supervisory requirements based on the nature of their activities and the associated risks.
Prudential Handbook for Investment Firms
The 
Prudential Handbook for Investment Firms applies to investment business firms authorised under Section 10 of the IIA. It sets out the prudential requirements applicable to these entities and contains the General and Supervisory Requirements and Reporting Requirements applicable and the Books and Records Requirements.
Client Asset Requirements
These requirements set out the rights, duties and responsibilities of a firm in relation to client money and client financial instruments received and held by it arising from its investment business activities. An investment business firm authorised under the IIA must firstly be authorised to hold assets belonging to its clients and in this situation, the firm must do so only in accordance with the Client Asset Requirements. Where a firm is authorised to hold client assets, it is required to have their external auditors assess, at least on an annual basis, the firm’s compliance with the Client Asset Requirements.
Capital Requirement
Investment business firm authorised under the IIA are required to hold certain levels of capital. The level of capital will depend on the authorisation held by the firm. Some of the calculation of the capital requirements are akin to the criteria outlined in the Capital Requirements Regulations, especially in the area of non-trading book capital calculation. Firms are required to hold the minimum level of capital as calculated under the Regulations at all times and are required to submit capital returns to the Central Bank on a periodic basis. Firms are advised on an individual basis where this requirement is applicable.
Consumer Requirements