The Compliance Risk Assessment Questionnaire serves as a critical tool for organizations operating under Maltese jurisdiction to evaluate their compliance with local and EU regulations. It is typically used during annual compliance reviews, before significant operational changes, or when entering new business areas. The questionnaire covers key risk areas including AML/CFT compliance, data protection, corporate governance, and sector-specific requirements. As Malta continues to strengthen its position as a leading financial services hub, this document helps organizations maintain compliance with the stringent requirements of the Malta Financial Services Authority (MFSA) and other regulatory bodies. The assessment includes detailed questions about internal controls, risk management procedures, and compliance frameworks, providing a comprehensive view of an organization's compliance status.
Compliance Risk Assessment Questionnaire for Malta
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Compliance Risk Assessment Questionnaire
"I need a Compliance Risk Assessment Questionnaire for our Malta-based financial services firm, focusing heavily on AML compliance and cryptocurrency operations, to be completed by March 2025 for our annual MFSA review."
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1. Entity Information: Basic information about the entity being assessed, including legal name, registration details, business type, and key contacts
2. Assessment Context: Purpose of the assessment, date, scope, and methodology used
3. Regulatory Framework: Overview of applicable regulations and compliance requirements for the entity
4. AML/CFT Risk Assessment: Assessment of money laundering and terrorist financing risks, including customer due diligence procedures
5. Data Protection Compliance: Assessment of GDPR and local data protection law compliance
6. Corporate Governance: Evaluation of governance structure, policies, and procedures
7. Operational Risk: Assessment of operational risks including process, people, and systems risks
8. Financial Risk: Evaluation of financial controls and compliance with financial regulations
9. Risk Scoring Matrix: Methodology and criteria for risk scoring and classification
10. Findings and Recommendations: Summary of identified risks and recommended mitigation measures
11. Action Plan: Detailed plan for addressing identified risks and compliance gaps
12. Sign-off and Approval: Section for relevant stakeholders to review and approve the assessment
1. Investment Services Compliance: Additional section for entities providing investment services under MiFID II
2. Insurance Operations: Specific section for insurance companies and intermediaries
3. Credit Institution Assessment: Additional section for banks and credit institutions
4. Gaming Compliance: Specific section for gaming operators licensed in Malta
5. Digital Assets: Section for virtual financial assets and cryptocurrency operations
6. Third-Party Risk Management: Assessment of risks related to third-party service providers and outsourcing
7. International Operations: Additional section for entities operating across multiple jurisdictions
1. Risk Assessment Methodology: Detailed explanation of risk assessment approach and scoring system
2. Regulatory Requirements Checklist: Comprehensive checklist of applicable regulatory requirements
3. Document Review Checklist: List of documents reviewed during the assessment
4. Interview Log: Record of interviews conducted with key personnel
5. Risk Matrix Templates: Standard templates for risk evaluation and scoring
6. Control Testing Results: Detailed results of control testing performed
7. Previous Assessment Findings: Summary of previous assessment findings and status of remediation
8. Reference Materials: Relevant regulatory guidelines, internal policies, and procedures
Authors
Relevant legal definitions
Acceptable Risk Level
Applicable Laws
Assessment Period
Competent Authority
Compliance Risk
Control Measures
Critical Risk
Data Protection Laws
Entity
FIAU
Governing Body
Inherent Risk
Internal Controls
Key Risk Indicators
Material Risk
MFSA
Mitigating Controls
Money Laundering
Monitoring Procedures
Non-Compliance Event
Probability Rating
Regulatory Requirements
Residual Risk
Risk Appetite
Risk Assessment
Risk Category
Risk Impact
Risk Level
Risk Matrix
Risk Mitigation
Risk Owner
Risk Rating
Risk Register
Risk Score
Risk Threshold
Risk Tolerance
Senior Management
Significant Risk
Subject Person
Supervisory Authority
Terrorist Financing
Testing Procedures
Third Party
Vulnerable Activities
Applicable Laws
Assessment Period
Competent Authority
Compliance Risk
Control Measures
Critical Risk
Data Protection Laws
Entity
FIAU
Governing Body
Inherent Risk
Internal Controls
Key Risk Indicators
Material Risk
MFSA
Mitigating Controls
Money Laundering
Monitoring Procedures
Non-Compliance Event
Probability Rating
Regulatory Requirements
Residual Risk
Risk Appetite
Risk Assessment
Risk Category
Risk Impact
Risk Level
Risk Matrix
Risk Mitigation
Risk Owner
Risk Rating
Risk Register
Risk Score
Risk Threshold
Risk Tolerance
Senior Management
Significant Risk
Subject Person
Supervisory Authority
Terrorist Financing
Testing Procedures
Third Party
Vulnerable Activities
Clauses
Scope and Purpose
Confidentiality
Data Protection
Anti-Money Laundering
Counter-Terrorist Financing
Corporate Governance
Risk Assessment Methodology
Regulatory Reporting
Document Retention
Internal Controls
Operational Risk
Financial Controls
Customer Due Diligence
Transaction Monitoring
Staff Training
Record Keeping
Whistleblowing
Conflict of Interest
Business Continuity
Technology Risk
Third-Party Risk
Regulatory Compliance
Risk Scoring
Audit Requirements
Remediation Measures
Breach Reporting
Management Oversight
Risk Appetite Statement
Employee Screening
Sanctions Compliance
Confidentiality
Data Protection
Anti-Money Laundering
Counter-Terrorist Financing
Corporate Governance
Risk Assessment Methodology
Regulatory Reporting
Document Retention
Internal Controls
Operational Risk
Financial Controls
Customer Due Diligence
Transaction Monitoring
Staff Training
Record Keeping
Whistleblowing
Conflict of Interest
Business Continuity
Technology Risk
Third-Party Risk
Regulatory Compliance
Risk Scoring
Audit Requirements
Remediation Measures
Breach Reporting
Management Oversight
Risk Appetite Statement
Employee Screening
Sanctions Compliance
Relevant Industries
Financial Services
Banking
Insurance
Investment Services
Gaming and iGaming
Digital Assets and Cryptocurrency
Corporate Service Providers
Trust Management
Payment Services
Fund Administration
Professional Services
Healthcare
Maritime
Manufacturing
Retail and Distribution
Technology and telecommunications
Relevant Teams
Compliance
Risk Management
Legal
Internal Audit
Corporate Governance
Operations
Finance
Information Security
Data Protection
Human Resources
Senior Management
Board of Directors
Relevant Roles
Compliance Officer
Risk Manager
Chief Risk Officer
Legal Counsel
Regulatory Affairs Director
Internal Auditor
Chief Executive Officer
Chief Financial Officer
Money Laundering Reporting Officer
Data Protection Officer
Head of Compliance
Governance Officer
Senior Compliance Analyst
Risk Assessment Specialist
Board Member
Managing Director
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