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.


Certificate of attendance will be issued to all participants indicating the attended sessions.

Venue, Date and Time

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

Monday 16th, Wednesday 18th, Monday 23rd & Wednesday 25th March, 2015

1600 – 1800 hrs including a coffee break

Participation Fee

€ 400; cheques payable to Institute of Legal Studies Malta


If you are interested kindly use our online registration form.


Mr. James Farrugia spearheads GANADO Advocates’ Investment Services & Funds team’s licensing and regulatory consultancy activities. Leveraging his extensive experience working with the local competent authority, Mr. Farrugia offers clients regulatorily sound insight and practical solutions throughout the licensing application process and on an ongoing basis

Dr. Stephanie Farrugia is an Associate within GANADO Advocates’ Investment Services & Funds team assisting in the set-up of investment services providers, UCITS funds and professional investor funds.

Dr. Marina Grech is an Associate at GANADO Advocates’ Investment Services and Funds Department. She focuses on the setting up, licensing and ongoing servicing of investment services licence holders and collective investment schemes, including hedge funds and UCITS schemes.


  • 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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