Regulation and Financial Crime Compliance in the Funds Industry
JUNE 18, 2019

Regulatory compliance is very important across all sectors in financial services, not least in the investment funds field. The aim of regulatory compliance is basically to ensure compliance with the laws and regulations applicable to the entity and that the latter is not subject to any form of regulatory censure, administrative penalty or any other form of regulatory action. More importantly, it aims to protect and safeguard the interests of the underlying investors in an investment fund. Indeed, regulatory compliance features prominently in a due diligence conducted by institutional investors before deciding to invest in a fund. The objective of this seminar is to discuss, with strong participation of senior MFSA officials, a number of topical subjects in relation to regulatory compliance and give insights to directors, compliance officers, MLROs and other senior management of funds (and their service providers) on the manner how the right regulatory compliance culture can be instilled.

WHO SHOULD ATTEND?

The event is targeted at Directors, Compliance Officers, Senior Management of Funds and Collective Investment Schemes, Fund Accountants, Fund Administrators, Custodians, Auditors and Legal Professionals.

WHY ATTEND?

Don’t miss out on this opportunity to interact directly with the regulator and industry experts, to discuss the key regulatory and compliance issues affecting the Funds industry. The event will also enable you to interact and network with your peers and other industry professionals.

REGISTRATION

Email Ms Elise Ann Mifsud at ifs Malta on eamifsud@ifsmalta.org.

RESOURCES