Regulatory Compliance for Investment Services Providers – Practical Considerations

Course Outline

This course will focus on the procedures, checks and arrangements which Compliance Officers must put in place in order to ensure compliance with MFSA Rules. It will also cover practical aspects relating to compliance with MFSA Rules.

Who should attend ?

The course is aimed at compliance officers, senior managers of Investment Services Licence Holders, lawyers, accountants and all other professionals involved in the Investment Services sector.

Certification

Certificate of attendance will be issued to all participants indicating the attended sessions. This Course has been accredited with 7.5 hours of structured CPE and qualify for the attainment of Professional Competencies in terms of the MIA CPE Regulations.

Venue, Date and Time

ILS Tuition Centre, 19/12 Vincenti Buildings, Strait Street, Valletta  VLT1432

31st January, 7th February, 14th February and 21st February, 2012

1600 – 1800 hrs including a coffee break

Participation Fee

€ 400 including VAT; cheques payable to Ganado Services Ltd

Registration

If you are interested kindly use our online registration form.

Lecturer : Mr. James Farrugia

Programme

  • The Investment Services Act and the Provision of Investment Services;
  • The Investment Services Rules for Investment Services Providers; Meeting the Expectations of the Regulator;
  • Execution, Advisory and Portfolio Management Services; Regulatory Considerations;
  • Regulating the Relationship with the Client – Contractual, Regulatory and Reporting Requirements;
  • Regulatory Reporting, RMICAAP, Consolidated Supervision and the Remuneration Requirements.
Image : Alan Borg
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