Tuesday, 18th June 2019
Hilton Malta - St Julians
This event is fully booked
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.
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.
Email Ms Elise Ann Mifsud at ifs Malta on [email protected].
Chief Officer, MFSA
Dr Christopher P. Buttigieg
Dr Christopher P. Buttigieg is the Chief Officer Strategy, Policy and Innovation at the MFSA. Prior to this appointment, he was the Head of Securities and Markets supervision, responsible for work in the field of policy, regulation and supervision of securities, markets and FinTech.
Jonathan is responsible for all of the Compliance programmes. Having twenty five years of financial services industry experience, holding senior Compliance roles for the last fifteen of these, Jonathan has a wealth of practical compliance experience. With an MBA from Henley Business School and a Diploma in Management from Reading University, Jonathan is also highly qualified in business management and is therefore able to place governance, risk and compliance management within the context of wider corporate strategy.
Deputy Director, MFSA
Joseph J. Agius
Joseph J. Agius is the Deputy Director of the Securities and Markets Supervision Unit of the Malta Financial Services Authority and in this role he is responsible of the funds and investment firms sector in Malta. He started his career with Mid-Med Bank Ltd in 1978, holding various roles in the retail network. In 1992 he was deployed as a credit analyst at Mid-Med Bank’s Office Credit Department with responsibility for credit analysis preparation as well as post credit decisions. In 1997, he formed part of a small team tasked with setting up of Mid-Med Finance Ltd, the group’s merchant banking arm and later on that year he was appointed the Deputy Head of this Company. He joined HSBC Malta’s fund management subsidiary in 2000 and has held senior positions in investment management, fund administration and custody. He was, for a number of years, an active member of the committee at the Malta Funds Industry Association. He is a member of the Committee of the Institute of Financial Services Malta
Partner, GANADO Advocates
Dr Andre Zerafa
Dr André Zerafa heads GANADO Advocates’ Investment Services and Funds team and he is also responsible for the firm’s Capital Markets initiatives. André regularly advises promoters on various corporate, regulatory and other legal issues involved in the setting up of asset management firms, administrators, custodians, prime brokers and securitisation vehicles. He also specialises in the structuring and establishment of alternative investment funds, UCITS funds and other retail funds. André was involved in the setting up of the first segregated patrimony umbrella fund in Malta. His team also advises one of Malta’s largest banks on their range of retail funds. André is particularly knowledgeable on the structuring of Maltese limited partnerships and contractual funds. André also acts as an external examiner and tutor at the University of Malta for dissertations relating to investment services and funds. He chairs the Investment Business Committee of the Maltese Institute of Financial Services Practitioners.
CEO, AQA Capital
Mr Christian Manicaro CFA
As CEO of AQA Capital Limited, Christian acts as the main point of communication between the Board of Directors, keeping them abreast of the goings-on of the company. Christian manages and mitigates the strengths of AQA’s employees, determining where they best fall on the corporate ladder. He uses his previous experience as Head of Investment Operations at AQA to keep the lines of communication open between investors, administrators and clients. With his deep knowledge of the multi-faceted portfolios of the company, Chris is well versed to manage the day-to-day operations of AQA while planning and preparing for future business and investment opportunities.