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.

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
  • ┬áProviding 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

Photo of Dr Katya Tua
Katya Tua