Workshop on the Evolving Regulatory Blueprint for Investment Firms
MFSA Investment Firms Workshop covering regulatory, supervisory, prudential, conduct and resolution matters for Malta's investment firms.
Overview
The MFSA Investment Firms Workshop will bring together investment firm stakeholders and representatives of the Malta Financial Services Authority to discuss key regulatory and supervisory matters affecting the sector. The workshop is intended to provide a practical insight into the MFSA's expectations across the regulatory lifecycle of investment firms whilst creating an opportunity for open dialogue between the Authority and industry.
The programme will address the MFSA's supervisory structures and reporting framework as well as the authorisation process and different licence combinations available to investment firms and how to approach them strategically. It will also examine key areas of prudential supervision, including reporting errors, prudential consolidation, SREP and ICARA expectations. Further sessions will focus on conduct supervision and resolution planning, including the Investor Compensation Scheme.
Why Attend?
- Investment Firm Stakeholders; Directors, Compliance Officers, Risk Managers
The workshop is designed to encourage constructive engagement, clarify regulatory expectations and provide investment firms with an opportunity to raise questions directly with relevant MFSA supervisory teams.
Agenda Highlights
- 08:30H Registration and Welcome Coffee
- 09:00H Opening Address by Christopher P. Buttigieg, Chief Officer Supervision, MFSA
- 09:15H Investment Firm Authorisation: Inside the MFSA's Review Process by Maria Grazia Zammit, Senior Manager, Investment Services Supervision, MFSA
- 09:45H Conduct Supervision: Findings Regarding the Suitability and Appropriateness Assessment by Joseph Micallef, Manager, Conduct Supervision, MFSA
- 10:30H Coffee Break
- 10:45H Getting Supervisory Reporting Right – From MFSA Obligations to Wider Regulatory Expectations by Anne Marie Pace and Daniel Cassar, MFSA
- 11:30H Protecting Investors: Resolution and Investor Compensation Scheme Updates for Investment Firms by Christian Buttigieg, Mellyora Ellul, and Francesca Cassar, MFSA
- 12:00H Emerging Key Developments Impacting Investment Firms by Ian Meli, Head, Investment Services Supervision, MFSA
- 12:30H Lunch and Networking