Dates: 8/ 10 /11 May at 4pm - 6pm
Location: Old University of Malta - Valletta
Lectured by: Isabelle Agius
Course overview:
Session 1: 8th May
- Requirement to have a compliance officer – legal basis and process for approval
- Role of the Compliance Officer vis-à-vis the MFSA, FIAU and SMB
- Main duties of the compliance officer stemming primarily from understanding the organisation
- Minimum policies and procedures which are required for an effective carrying of the compliance function
Session 2: 10th May
- Identifying the risks and drafting an effective compliance monitoring plan e.g. difference between a fund, fund manager, investment firm, fund administrator and explaining the nature, different types and classifications of risks
- Ongoing monitoring of the operations of the company and compliance reviews
- Checks which the compliance officer should be carrying out internally and on third party service providers
Session 3: 11th May
- Reporting to the Board of Directors and structuring a compliance report which gives the right amount of detail
- Alerting the board in the case of new legislation which will impact the company – how to go about it
- Preparing for an MFSA Visit
- Ad hoc legislation which will impact a licenced entity e.g. GDPR, ICT and DORA
*Fee will be EUR150 for applicants registering for both courses.