Regulatory compliance advisory service

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Regulatory and compliance advisory service is offered by our firm Chetcuti Cauchi Advocates.  This regulatory and compliance advisory service is offered to all those licensed entities which either require assistance in the day to day compliance matters or require advice on a specific regulatory matter.

The regulatory and compliance advisory service is mainly offered to the following licensed /authorised entities by the Malta Financial Services Authority:

  1. entities which are licensed pursuant to article 6 of the Investment Services Act, 1994;
  2. entities or individuals registered to act as Company Service Providers in terms of article 3 of The Company Service Providers Act, 2013;
  3. entities authorised to act as trustees in terms of article 43 or 43a of the Trust and Trustees Act,

 

Tailor-made regulatory and compliance advisory services which we currently offer include:

  1. review of policies and procedures and advice and implementation of any required changes in line with the applicable rules and legislation;
  2. drafting of policies, procedures and compliance plan;   
  3. advice on best practices and how to improve current systems and the introduction of new controls if necessary;
  4. advice on any regulatory issues;
  5. providing support to the compliance officer in dealing with the submission of regulatory reporting;
  6. compliance health checks and mock compliance visits; 

We have individuals who have the necessary expertise and knowledge in order to provide an optimum regulatory and compliance advisory service to our clients.



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