Lead Training Services

The Regulatory Framework within Financial Services

Starting: 4th March 2019

Dates: 4th and 11th March 2019
Time: 17:30 till 20:45
ECTS credits: 1
Trainer: Dr Stefan-John Berry

Learning Outcomes:

At the end of the module/unit the learner will be able to:

  • Advise on the purpose of regulations within financial services
  • Carry out the duties that are required by a Money Laundering Reporting Officer
  • Prepare Company’s Policies that are required by regulations
  • Gain awareness of the purpose of the regulations and protections for savers and investors
  • Gain a general understanding of the regulatory framework for the various sectors within financial services
  • Gain a general understanding of the financial services regulations and European Union and the role of new players such as ESMA, EIOPA and the European Banking Regulator
  • Understand the role of the Money Laundering Reporting Officer vis-à-vis the role of the Compliance Officer
  • Apply the financial services requirements as part of his/her company’s policies
  • Assess the roles of different players and regulators and identify the role of his/her Company within such sphere
  • Prepare Company’s policies addressing the functions of regulators and different roles the various players in financial services
    • The evolution of European integration
    • The European Treaties
    • European Institutions
    • European System of Financial Supervision
    • Post-Lisbon supervisory and legislative framework
    • EU Capital Markets Union
    • EU Common Market
    • Evolving Financial Services
    • EU Consumer Protection
    • An Intro to the Digital Single Market


Tower Training Centre
Lower Ground Floor, Tower Business Centre, Tower Street, Swatar, Malta. (view map)

(Free parking available at level minus 5)


Dr Stefan-John Berry

By profession, Stefan is a lawyer with a specialisation in EU Commercial Law and over 15 years’ experience in the financial services industry. He commenced his professional career at PricewaterhouseCoopers (PWC) and later joined Lombard Bank Malta plc, a well-established and highly reputable local retail credit institution, where he helped set upand consolidate the Compliance, Risk Management and MLRO functions. He then moved on to Middlesea Insurance plc (part of the MAPFRE Group, Spain), where he has provided Compliance and Company Secretarial services to Maltese insurance and reinsurance companies that passport their products in the European Union. Thereafter, Stefan served as Company Secretary, in-house Legal Counsel, Compliance Officer and MLRO with a number of MFSA-licenced institutions, authorised to passport their products and services to other EU Member States. Stefan is currently very involved in providing advisory services on Internal Controls for FinServ and FinTech licenced entities.

Frequently Asked Questions

Who We Are

We are a team of specialists passionate about our work and with a common ambition to share learning experiences with people in the business community and civil society.

Under the brand name LEAD Training Services, our team has attracted an impressive pool of professional trainers from different areas of business and different geographical locations.

This makes us the only professional training organisation in Malta that can offer cutting edge training programmes across a broad spectrum of topics. We do not believe in one-size-fits-all training programmes and in line with our belief we customise our programmes to our individual customer’s needs.

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Our LatestNews

Posted on: Thursday, February 15th, 2018

On the 9th February 2018, LEAD Training Services held its annual Award Ceremony at the Xara Lodge in Rabat. Present for this event were over 300 students who attended LEAD’s accredited professional short courses during 2017 and successfully achieved their CPD Award Qualifications.

Special guests for this ceremony included the Mr. Martin Borg, and Educational Management and Quality Control expert Mr. Paul Gauci Executive Head of BOV Training Centre and trainer with LEAD Training Services. All of these, together with Mr James Grech Managing Director of LEAD Training Services delivered short speeches during this event. …read more »