Regulatory Compliance Services

Our Services

Regulatory Compliance Services

Today’s complex and evolving regulatory environment provides significant challenges to investment businesses. This is particularly the case for boutique regulated entities (or start ups) that may require additional guidance and resources from a regulatory compliance perspective to ensure continuous alignment with the MFSA  rules and Investment Services regulations.

Our team of compliance professionals are very well prepared to assist regulated entities with their ongoing regulatory compliance needs and in particular assist in overcoming the ever-increasing regulatory requirements and challenges.

Our Compliance services involves, inter alia:

  • Detailed compliance monitoring on the Company’s activities to ensure adherence to the applicable rules and MFSA’s expectations;
  • The provision of tailored Compliance Manuals and Policies;
  • Assistance with MFSA visits;
  • Regulatory calendars;
  • Compliance reports;
  • Training to employees;
  • Assistance with general regulatory compliance support;
  • Preparation of the MFSA application; and
  • Maintenance of compliance files and independent monitoring of outsourced entities and service providers.

Compliance Officer Appointment



ZASMalta can also provide MFSA Regulated Entities with experienced individuals to act as Compliance Officer. These individuals are approved by the MFSA to act as Compliance Officers on a range of MFSA licensed entities including MiFID firms, AIFMs, UCITS Management companies, Collective Investment Schemes, Fund administrators and Company Service Providers. We offer tailored arrangements which can be implemented in accordance with your needs and requirements.


Compliance consultancy, support and training



ZASMalta can work with you to ensure that you have in place a robust compliance framework, further assisting on any additional compliance related support you may need. We cater for entities which are not seeking to appoint a Compliance Officer but rather require related assistance, support and training. Such services are customised to your needs and requirements.


Assistance on the Investment Firm Regulation and Investment Firm Directive (IFR/IFD)


The publication of the new IFR package has imposed additional requirements for MiFID Firms. Such Changes include:

  • Introduction of new classes of firms which depend on the activities undertaken, systemic importance, size and interconnectedness;
  • New permanent minimum capital and liquidity requirements;
  • The introduction of liquidity monitoring and management requirements;
  • The introduction of new risk-based measures reflecting the business undertaken and which will focus on Risk to Customers, Risk to Market and Risk to Firm (‘K-factors’);
  • Developments on group consolidation requirements;
  • Enhanced governance standards and more extensive disclosures;
  • Updates to the financial information reported to the regulator and changes in the frequency of such reporting;
  • Changes to the approach in risk assessment with the introduction of the ICARA process; and
  • New remuneration provisions and developments in clawback rules.
ZASMalta has collaborated with a renown UK service provider with hands-on experience on these new requirements, to assist you with a range of solutions designed to meet your needs.  These include:

  • Undertaking an Impact Assessment to help you understand how the new regime impacts your firm. This includes categorisation, capital requirements and resources, liquidity requirement and resources, group consolidation rules, regulatory reporting, ICARA process and public disclosure;
  • Regulatory Reporting preparation of on-going reporting requirements allowing you to focus on the core business;
  • ICARA process annual assistance to ascertain that the level of capital required adequately addresses future and current risks in the business as required for all investment firms to conduct and document.

If you think compliance is expensive -
try non-compliance