Trainer: Dr Stefan-John Berry

Learning Outcomes:

At the end of the module/unit the learner would have gained a general understanding of the purpose of the following legislations and applicable regulations:

• Investment Services Act and Investment Services
• Banking Act and the role of the European Banking Regulator
• Financial Institutions Act and applicable regulations
• Investor and Depositor Compensation Schemes and applicable regulations
• Insurance Intermediaries Act and Insurance Intermediaries Rules
• Insurance Business Act and Insurance Rules
  • MFSA Rules
• An Intro on FinTech
• Understand anti-money laundering and counter funding of terrorism requirements in terms of the local requirements
  • New AML/CFT Regulations
  • Regulations on the UBO registers
  • 4AMLD and subsequent Developments
  • Terrorism and Terrorist Financing

At the end of the module the learner will also be able to:

• Prepare policies and procedures as required in terms of different regulations
• Manage compliance risk in line with financial services regulations
• Assess the level of applicability of regulations in line with the functions performance and licenses of the Company

Course Delivery Mode – Live Webinars

This course will be delivered via live online webinars.  The course trainers will be visible on screen via a professional webinar platform through which students can follow the trainer presenting live whilst also using a powerpoint presentation and sharing other resources as necessary.  Students will be able to interact with the trainer by sending questions or comments through the same webinar platform.  Our student support team will assist all students with simple instructions on how to access the webinar online.  A support line will also be made available to communicate with a student support officer in case of technical difficulties encountered during the live webinar.

All webinars will also be recorded and uploaded on the student online resources portal for future reference during home study.  Trainers will also dedicate very regular Q & A times during the webinar to ensure all students can have the chance to ask questions and reach the intended learning objectives.  The email and contact details of the trainer will also be made available in case students would wish to get in touch with the trainer throughout the course period.

Trainer

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.