Financial Crime World

Chetcuti Cauchi: Your Trusted Partner in Navigating Malta’s Financial Compliance Regulations

Amid the intricate web of financial regulations in Malta, Chetcuti Cauchi stands out as a reliable guide for entities seeking to ensure regulatory compliance. Our seasoned compliance specialists possess a deep understanding of the various procedures set up by the Malta Financial Services Authority (MFSA), enabling us to assist clients throughout the licensing process and beyond.

Our Regulatory Compliance Advisory Services

Chetcuti Cauchi’s Regulatory Compliance Advisory Service caters to entities granted authorization from the MFSA. These include:

  • Entities licensed under [Article 6 of the Investment Services Act (1994)]
  • Individuals/entities registered as Company Service Providers under the Company Services Providers Act (2013)
  • Entities authorized to act as trustees under the Trust and Trustees Act (1989)

Our comprehensive regulatory compliance advisory services include but are not limited to:

  1. Policy, procedure, and charge review in accordance with the relevant rules and legislation
  2. Drafting of policies, procedures, and compliance plans
  3. Counsel on best practices and new control implementation
  4. Regulatory matters consultation
  5. Support to the compliance officer in reporting submissions
  6. Compliance health checks and mock visits

The Role of a Compliance Officer

Once licensed, entities are obliged to adhere to specific requirements and conditions laid down by law and the MFSA. To ensure full compliance, entities must establish and maintain a productive regulatory compliance function that operates independently from other services.

The role of a Compliance Officer is crucial, as they serve as the bridge between the entity and regulatory bodies by continually monitoring and assessing established compliance measures, advising on regulatory matters, and addressing any deficiencies.

Chetcuti Cauchi as Your Designated Compliance Officer

Our Regulatory Compliance Team at Chetcuti Cauchi can act as your designated Compliance Officer before and after the licensing process.

During the pre-licensing stage, we collaborate closely with clients to draft policy procedures and address any regulatory concerns raised by the MFSA. Post-licensing, our experienced compliance lawyers guarantee seamless compliance adherence and assist with:

  • Preparation of regulatory returns
  • Project policies and procedures
  • Regulatory reporting
  • Investor protection matters
  • Regulator liaison

Trust in Chetcuti Cauchi for All Your Maltese Compliance Needs

Navigating the complex world of financial compliance regulations in Malta can be arduous without the proper guidance. At Chetcuti Cauchi, we pride ourselves on partnering with clients throughout the entire licensing and compliance process, ensuring a compliant operational setup that stands the test of time.