Welcome to the Banking & Finance Monthly Webinar Series

We are very pleased to announce that, as from January 2021, the banking and financial institutions team at Ganado Advocates will be holding a series of monthly webinars on current topics of interest for clients and contacts.


Tuesday 23 February 2021
1400 – 1500 hrs

AML Compliance: Keeping up the Momentum

The rapid evolution of financial crime requires a dynamic response. A complacent compliance attitude is not acceptable. With AML practices increasingly coming under the spotlight, coupled with the heightened expectations of regulators, subject persons cannot risk becoming facilitators of financial crime through their inaction or unpreparedness.

By adopting a robust compliance culture, implementing an appropriate framework and by engaging people with the right frame of mind, banks and financial institutions will be able to make the grade during compliance visits. Clear and transparent frameworks are a must. The adoption of a top down approach while instilling the right attitude in employees is key for the successful and effective implementation of AML frameworks.

This webinar will give insights into the culture and framework which are to be adopted by banks and financial institutions, focusing on how they can make the grade during regulatory compliance visits.

Mario Zerafa
Senior Associate
Investment Services & Funds


Tuesday 19 January 2021
1400 – 1500 hrs

Conducting Suitability Assessments of Directors and Key Function Holders: Practical considerations

Supervised entities have the primary responsibility to carry out their own due diligence and suitability assessment prior to the proposed appointment of directors, members of executive management and key function holders. The outcome of the assessment is then to be provided to the competent authority as part of the approval process. Re-assessments should also be undertaken periodically or upon the happening of trigger events.

Although entities differ in structure, size, risk profile and business model, a suitability assessment invariably needs to address assess competence, reputation and integrity, time commitment as well as the independence of mind of the individual in question, whilst also taking into account the specifics of the role being assessed. The webinar will give insights into how an entity should conduct a suitability assessment, primarily against the backdrop of the Joint ESMA and EBA Guidelines on the same subject matter.

Catherine Formosa
Senior Associate
Banking & Finance