Compliance Advice to Senior Management and to the Board of Directors

Intake Opening Soon 5:00 - 7:00pm Online

This CPD will cover the main aspects of the role of the compliance officer, drafting compliance reports, ad hoc reports to the management and how to effectively escalate compliance issues to the senior managers and Board of Directors.


The CPD covers the main items that need to be included in the compliance report, the manner on how to discuss and escalate compliance matters to senior management and to the board of directors and also how to ensure proper implementation of compliance advice.

Course Topics:

  • The Role of the Compliance Officer
  • Compliance Report
  • Escalation of Compliance Issues
  • Resolution of Compliance Issues
  • Follow up and Implementation of Compliance recommendations

Target Audience:

Compliance Officers and Senior Management of MFSA regulated entities.

Assessment Questions and Answers:

In line with MFSA requirements, a short multiple-choice assessment will be provided by the trainer towards the end of the session. A Certificate of Attendance will be awarded to all students who attend the CPD (duration will be included on certificate). A Certificate of Achievement will be awarded to those who sit for the assessment and are successful (pass mark 60%)


The session content was very appropriate and good. A very useful refresher.

B. Fenech


Romina Lauri, B.Com (Hons.) Econ. (Melit), MA (Econ) (Melit), Dip (Insurance, Banking and Investments)

Ms Lauri is a seasoned Regulatory Compliance Expert focusing on various regulatory frameworks including the insurance undertaking and intermediary sector. Ms Lauri holds a number of PQ’d appointments as a Compliance Officer for various insurance entities

I'm interested in this course

If you are interested to join this course when the intake is open please fill in the form below.

Why Choose Us

MITC is made up of a close-knit team with a real passion for learning and insurance, who believe in the continuous development and empowerment of individuals through learning. We understand all of the nuances and challenges that come with insurance training and, that is why we’re here to help you get your training right.

Our courses are developed following in-depth research and consultation on the subject matter and the related market, thus ensuring participant needs are met. All our trainers are experts in their field and actively contribute towards the continuous development of the courses which they deliver.

Our training services are accredited by the Malta Further and Higher Education Authority (MFHEA) and the European Qualifications Framework platforms. MITC’s homegrown insurance programmes are recognised by the renowned Chartered Insurance Institute, UK.

Let's stay in touch

Stay updated with MITC news updates and courses. We promise not to spam your email or share your email with third parties.