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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

Photo of Dr Katya Tua
Katya Tua

Stay updated with our latest insights

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Regulatory Compliance Quarterly Update | Q2 2024

We are pleased to issue our ninth edition of the Regulatory Compliance Quarterly Updates. 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. Our ninth 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…
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Malta Business Registry Issues Notice Regarding Memoranda and Articles of Association

On the 29thJuly, the Malta Business Registry (MBR) issued a notice advising that any memoranda and articles of association being filed with the Registrar of Companies, whether in the course of an incorporation of a new company or as an amendment to memoranda and articles of association of companies already registered, need to be amended in order to refer to certain notification obligations which Maltese companies may be subject to. The required amendment relates to the objects clause of a company’s memorandum and articles of association and the proviso which is generally included which provides that the objects for which…
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Regulatory Compliance Quarterly Update | Q1 2024
On 14th March, the MFSA published “A Guidance for Money Laundering Reporting Officers in the Financial Services Sector”, to be read in conjunction with previous guidelines issued in relation to the MLRO function.
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MFSA publishes a Guidance for MLROs in the Financial Services Sector
Insurance & Reinsurance
Regulatory Compliance Quarterly Update | Q4 2023