Regulatory Compliance

Regulatory Compliance

Practice Area Overview

The Financial Services Industry is continuously evolving, with business modes becoming more complex and the compliance and regulatory requirements becoming more onerous.

Our multidisciplinary team has extensive knowledge of both local and EU regulations. We offer advisory services in respect of compliance and regulatory requirements both at licensing stage and post licensing stage. Having a strong compliance culture is crucial and our team assists our clients in having the required policies and procedure to be compliant with the local regulatory framework as well as providing advice with respect to the changes needed to their business model to better comply with the relevant requirements. Our team also delivers tailor-made training sessions to staff of Regulated Entities.

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Scope of Services
  • Acting as Compliance Officer to Entities licensed in terms of the Investment Services Act (Chapter 370 of the Laws of Malta)
  • Advising clients in respect of local and EU regulatory requirements
  •  Providing training to members of staff
  • Drafting of compliance plan and regulatory deliverables
  • Reviewing policies and procedures and assisting clients in implementing the required changes
  • Conducting annual compliance checks

Key Contacts

Katya Tua - Mamo TCV Advoacates
Katya Tua

Stay updated with our latest insights

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Insurance & Reinsurance

Regulatory Compliance Quarterly Update | Q4 2025

We are pleased to issue the fifteenth edition of the Regulatory Compliance Quarterly Update. These updates are intended to keep Maltese regulated entities informed of regulatory changes and developments taking place in the local financial services space. In this issue, we focus on the sector specific and cross-sectoral regulatory updates relating to investment services, CSPs, fintech, insurance undertakings and insurance intermediaries. The fifteenth Regulatory Compliance Quarterly Update can be found here.The Regulatory Compliance Quarterly Update does not purport to give legal, regulatory,financial or tax advice. Should you require further information or assistance, please do not hesitate to contact Michael Psaila,…
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Strengthening Risk Management: MFSA’s Expectations for CSPs

On the 25th of November 2025, the Malta Financial Services Authority (“MFSA”) issued a ‘Dear CEO letter’ to communicate the results of a thematic review of the risk management function of Class C Company Service Providers(“CSPs”). This letter forms part of the MFSA’s wider supervisory drive to enhance governance, culture and resilience across the sector. Although the review is focused on a selected sample, the expectations outlined are relevant to all CSPs authorised in Malta. Under the Company Service Provider Rulebook (“the Rulebook”), CSPs must maintain a risk management framework that allows them to identify, analyse and evaluate risk, by…
Insurance & Reinsurance

Regulatory Compliance Quarterly Update | Q3 2025

We are pleased to issue the fourteenth edition of the Regulatory Compliance Quarterly Update. These updates are intended to keep Maltese regulated entities informed of regulatory changes and developments taking place in the local financial services space. In this issue, we focus on the sector specific and cross-sectoral regulatory updates relating to investment services, CSPs, fintech, insurance undertakings and insurance intermediaries. Click here to access the fourteenth Regulatory Compliance Quarterly Update. The Regulatory Compliance Quarterly Update does not purport to give legal, regulatory,financial or tax advice. Should you require further information or assistance, please do not hesitate to contact Michael Psaila,…
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