Dealing with Compliance Visits

The session will focus on compliance visits held by the FIAU in the context of AML obligations. The session will list what is expected from such meetings, what documentation to have in place and the level of due diligence you are expected to have on file. Other obligations that are likely to be tested, such as transaction monitoring, will also be discussed. The session is ideal for MLROs, Compliance Officers and Directors of subject persons.

The Speaker

John Mark Caruana is one of the co-founders of Radix Compliance Ltd, a local company specialising in AML & GDPR consultancy and outsourcing services. John has over 13 years of experience within various industries, including funds, FX, investments, CSPs and Audit. John holds a B.Com (Hons) degree in Banking & Finance and a Masters of Science in Banking & Finance, both awarded by the University of Malta. He is also a Certified Information Privacy Professional (Europe) and a Certified Information Privacy Manager (CIPM) as recognised by the International Association of Privacy Professionals. John is also a member of the Malta Association of Compliance Officers (MACO). John occupies positions of MLRO, Data Protection Officer and Compliance Director within tax, accounting and gaming industries. He also lectures on AML & GDPR related topics at the University of Malta and other local institutions.