Lead Training Services

The Regulatory Framework within Financial Services

Starting: 3rd June 2019

Dates: 3rd and 10th June 2019
Time: 17:30 till 20:45
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.

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.

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: Monday, February 25th, 2019

On the 7th February 2019, LEAD Training Services organised its annual award ceremony. This annual event was held at the Xara Lodge in Rabat.

A total of 343 students who successfully completed an accredited CPD Award course during the year 2018 were invited for this ceremony in order to be officially presented with the CPD Award Certificate.

…read more »