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Course 306 – Financial Markets Compliance and Regulation
Date
14 - 21 March 2018
Time
17:00 - 19:30
Venue
Malta Stock Exchange, Valletta 

Contact Person
Mr Cliff Pace
Event Overview

This course aims to offer participants an overview of the regulatory and compliance landscape by introducing elements of the AIFMD, MiFID, and UCITS directives. Students will be provided a foundation to be able to understand financial regulation and compliance requirements of an MFSA licensed company.  The course will explore the optimal compliance structure of a fund or management company including their basic legal structure, the fiduciary duties of a board of directors, investment committee, Mlro, and compliance officer. Furthermore various AIFMD policies will be discussed including risk management, remuneration, valuation, insider dealing polices, etc.

Speakers
  • Dr Marina Grech

    Dr Marina Grech is a Senior Associate at GANADO Advocates_ Investment Services and Funds Department. She specialises in the setting up, licensing and ongoing structuring of investment services licence holders, including AIFMs, UCITS Management Companies and Brokers as well as UCITS schemes, AIFs, Venture Capital Funds, Real Estate Funds and Private Equity Funds. Marina regularly assists and advises clients on various corporate matters. This includes the setting up in or continuation to Malta of legal entities and the restructuring of authorised entities. Working with licensed entities also entails the provision of ongoing regulatory assistance. Marina actively assists investment services and fund clients with various ongoing regulatory matters, including compliance with EU legislation and MFSA requirements, in order to ensure that licence holders operate within the parameters of the applicable regulatory framework. 

 

Programme

Topics to be discussed:

  • The European legal and regulatory landscape 
  • Role of the MFSA as regulator
  • The MFSA licensing process
  • The Investment Services Act
  • Understanding AIFMD, MIFID, UCITS Directive
  • The UCITS, PIF, AIF and NAIF fund regimes
  • Role and responsibilities of compliance officers and compliance obligations
  • The roles of the board and investment committee
  • The board meeting, company secretary, and the board minutes
  • The compliance manual and AIFMD policies
  • Risk management frameworks in terms of AIFMD obligations
  • The prospectus and the investment management agreement
  • Understanding the investment manager framework and delegation structures under AIFMD

Why should delegates attend?

Attendees will be provided a foundation to be able to understand financial regulation and compliance requirements of an MFSA licensed company.


Registration Information
To register, kindly send an email on msei@borzamalta.com.mt



Course 306 – Financial Markets Compliance and Regulation

Booking Information

Please ensure that the email address stipulated for each attendee is his or her own personal email address.

Group Discounts: A discount of 21.05% (based on the original price ticket [€190] for members) will be applied if you register 6 or more attendees, from the same company, at the same time, for this event.
Early-bird Discounts: A discount of 0% will be applied if you register till the .

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