Independent regulatory advisory for EU-regulated financial firms.
RegServ works with management companies, funds and investment firms across Malta and the EU — from conversion of ICT registers and regulatory returns to full compliance advisory, internal audit and AML/CFT reviews.
Four ways to work together
Each is its own page — pick the one that matches what you need, or book a call and we'll work it out together.
File conversions
ICT inventories and regulatory returns turned into submission-ready templates — mapped, validated and structured to the current technical package.
See the conversion serviceCompliance advisory
Framework reviews and reporting obligation checks across the regimes EU-regulated firms are assessed against.
See compliance advisoryInternal audit
Outsourced internal audit execution for licensed fund managers and investment firms — risk-based planning, control testing and board-ready reporting.
See internal auditAML/CFT advisory
Programme design, risk assessments and independent reviews built around FIAU Implementing Procedures.
See AML/CFT advisoryHow an engagement runs
A fixed structure, so scope and cost are clear from the first call, whichever service you need.
Scope
Review your current framework, documentation and gaps against the applicable regime.
Assess
Detailed mapping against MFSA/FIAU procedures or ESA technical standards.
Deliver
Documentation, templates and a prioritised remediation plan.
Support
Ongoing advisory through submission, examination or audit.
About RegServ
RegServ is the regulatory advisory practice of Raul Suarez-Guerrero, a Malta-based Investment services specialist dealing with MFSA-regulated funds and investment firms.
That work has run across AML/CFT programme reviews, MiFID II, EMIR and DORA reporting — including internal audit engagements executed under delegated authority for licensed fund managers and investment firms, and hands-on work with DORA Register of Information submissions and IFR supervisory reporting. RegServ brings that same standard of scrutiny to firms that need an independent, practitioner-led review rather than a generic template.
- Based
- Malta · working across the EU
- Education
- BSc Business Administration, Copenhagen Business School
- Currently
- CIA candidate, IIA Malta chapter
- Frameworks
- AML/CFT, MiFID II, EMIR, AIFMD, UCITS, MAR, DORA, IFR
Not sure which service fits?
Describe what you're dealing with and get pointed to the right one — or a combined scope.