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Compliance for funds and fund servicing

📅Dates: 8/ 10 /11 May at 4pm – 6pm

📍Location: Old University of Malta – Valletta

👩‍🏫 Lectured by: Isabelle Agius

A 100 Euro Fee applies for this course. Total Fee for Both courses is that of 150 Euro.

Course overview:

Session 1:

  • 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:

  • 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 provider

Session 3:

  • 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 licensed entity e.g. GDPR, ICT and DORA

The Lecturer 

Isabelle Agius

Isabelle Agius is currently employed at Apex Group Ltd (Malta Branch) as Head of Regulatory Services. Prior to that she spent 14 years with the Malta Financial Services Authority where she held various positions with the Regulatory Development Unit and the Authorization Unit. During this period Isabelle was involved in the transposition of the UCITS IV, UCITS V and AIFMD. Isabelle Agius graduated from the University of Malta in 1999 as Doctor of Laws and has a Masters in Financial Services.