Financial Services
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As a leading law firm in Malta, we specialise in regulatory compliance, licensing, governance, and ongoing legal advisory for financial services providers. Our deep understanding of the Maltese regulatory landscape and strong relationship with the Malta Financial Services Authority (MFSA) allow us to guide clients efficiently through every stage of their business lifecycle—from licence application to regulatory maintenance and corporate governance.
Whether you are setting up a new financial services entity or strengthening your compliance and governance frameworks, our team delivers practical, forward-thinking legal solutions that align with local and EU regulatory standards.
Our Financial Services Practice Covers:
Financial Services Licence Application Support
Assistance in preparing and submitting applications for financial services licenses, ensuring compliance with regulatory requirements and industry standards. This includes guidance through the licensing process to secure timely approvals.
Ongoing Regulatory and Compliance Advisory
Comprehensive support for governance, risk management, compliance, and sustainability to help financial services organisations maintain regulatory adherence. Services include monitoring, reporting, and advisory tailored to evolving regulatory and sustainability frameworks.
Drafting and Review of Policy Documents
Ensuring clear and effective policies aligned with industry standards and regulations. Services include drafting new policies, reviewing existing ones for clarity and relevance, and updating them to reflect regulatory changes and best practices.
Internal Controls Design and Assessment
Developing and assessing internal control systems to mitigate risks, safeguard assets, ensure accurate reporting, and prevent fraud. Includes evaluating existing controls and recommending enhancements for compliance and effectiveness.
Risk Management and Mitigation
Conducting in-depth risk assessments to identify vulnerabilities and prioritize risks. Tailored mitigation strategies are developed to minimize exposure and enhance operational resilience.
Compliance Program Development
Establishing compliance frameworks and implementing ongoing monitoring and review processes to ensure regulatory adherence and address potential issues proactively.
Audit Preparation and Legal Support
Assisting organisations in preparing for internal or external audits by gathering documentation, conducting pre-audit assessments, and addressing compliance gaps to ensure audit readiness.
Corporate Governance Frameworks
Designing and improving governance structures to promote accountability, ethical practices, and effective decision-making. Services include defining roles and responsibilities and aligning governance with corporate goals.
