Circulars / Notes for Information


DATESUBJECT
2019-02-14Circular on the Regulatory Framework for ‘CRR Local Firms’ within the Maltese MiFID Investment Firms’ Framework
2019-02-14Circular on the agreement between ESMA and EU Securities Regulators with the UK's Financial Conduct Authority as part of a no-deal Brexit Scenario
2019-02-13Circular to Applicants who are required to complete a Personal Questionnaire
2019-02-06Circular to the Collective Investment Schemes, Fund Managers and Depositaries on ESMA Liquidity Stress Test Guidance
2019-01-14Circular on Commission Delegated Regulations on safe-keeping duties of depositaries
2019-01-14Circular - Brexit: UK FCA Temporary Permissions Regime
2018-12-28Circular: ESMA Statement – Reminder to firms on their MiFID obligations on the disclosure of information to clients in the context of the United Kingdom withdrawing from the European Union
2018-12-10Circular relating to the submission of online Personal Questionnaires
2018-12-07Circular to Collective Investment Schemes, Fund Managers and Investment Firms licensed in Malta as well as Recognised Fund Administrators in relation to submission of regulatory reporting
2018-11-13Circular on the revised Part BI of the Investment Services Rules for Investment Services Providers
2018-11-01Circular to Licence Holders and Applicants who are being proposed to hold a position which requires the MFSA’s prior approval
2018-10-08Circular to the financial services industry on changes to Appendix 2D
2018-10-04Circular
Manual

2018-09-14Circular to Licence Holders and Applicants for a Licence proposing individuals for an Approved Position
2018-07-25Circular to investment services licence holders which qualify as MiFID firms regarding the Joint ESMA and EBA Guidelines on the assessment of suitability of members of the management body and key function holders
2018-04-24Circular to the industry on the Survey by UK’s Financial Conduct Authority (“FCA”) for EEA firms passporting into the UK
2018-02-19Circular to the financial services industry on changes to Part A of the Investment Services Rules for Investment Services Providers
2017-12-29Circular
Revised Part BII of the Investment Services Rules for Investment Services Providers
Revised Part BIII of the Investment Services Rules for Investment Services Providers
Revised Part BIV of the Investment Services Rules for Investment Services Providers

2017-12-18Circular
Revised Part BI of the Investment Services Rules for Investment Services Providers
2017-09-18Circular – Critical Supervision and resulting Administrative Measures
2017-07-14Circular addressed to MiFID Firms on Supplementary Data Collection to Support the New Prudential Framework for Investment Firms
2017-02-08Circular to the financial services industry on changes to the Standard Licence Conditions applicable to Category 4 Investment Services Licence Holders
2017-01-26Circular to the Market - Assessment Required Prior To Proposing Individuals for Approved Positions
2017-01-09Circular on Own Funds Requirements for Investment Firms and Fund Managers based on Fixed Overheads under Article 97(4) of Regulation (EU) No 575/2013
2016-11-11Circular – Thematic Review on Compliance with the Remuneration provisions in terms of the AIFM Directive
2016-08-19Circular on Offsite Supervision – Correspondence with the Funds Supervision Team
2016-08-18Circular addressed to MIFID firms and UCITS/AIFMD firms conducting MIFID services and activities
2016-08-08Circular regarding an EU Consultation document on Review of Macro-Prudential Policy Framework
2016-07-05Circular
2016-05-26Circular to the Financial Services Industry on the Consolidation of the Maltese Fund Frameworks
2016-05-20Circular to the financial services industry on changes to the Investment Services Rules
2016-05-02Circular addressed to Investment Firms authorised to provide investment advice
2016-04-26Circular to the financial services industry on the European Long-Term Investment Funds Regulation
2016-04-15Circular to the financial services industry on changes to the Investment Services Rules following the transposition of the UCITS V Directive
2016-04-13Circular addressed to Investment Firms and/or Applicants for an Investment Services Licence offering or intending to offer Financial Contracts for Difference (CFDs) and other speculative products
2016-02-01Consultation Document – Draft Guidelines on the Market Abuse Regulation
2016-01-08Circular addressed to Investment Services Licence Holders – Documentation Timetable
2016-01-05Circular addressed to Investment Services Licence Holders conducting Licensable activities in Foreign Jurisdictions
2015-12-28Circular addressed to Investment Services Licence Holders
2015-12-22Thematic Review on compliance with Governance, Compliance and Risk Management
2015-12-16Consultation Document – Call for Evidence – EU Regulatory Framework for Financial Services
2015-11-18Circular to MiFID firms which are required to submit either the Appendix 2A - Financial Return for Category 1 & Category 4b and the Appendix 2C - Automated COREP Return as part of their regulatory reporting requirements
2015-11-17Circular addressed to the Category 1, 2 and 3 Investment Services Licence Holders on the MFSA's position regarding Government Securities
2015-11-04Circular to Investment Services Licence Holders on the Assessment of Appropriateness and Suitability of Investment Products or Instruments as required by the Investment Services Rules
2015-10-20Note for Information PQ
2015-10-16Circular to collective investment schemes and fund managers on the Authority’s thematic review on compliance with requirements on Governance, Compliance and Risk Management
2015-07-30Notice to applicants for a Category 3 Investment Services Licence that would like to carry out binary options trading
2015-07-30Notice to applicants for a Category 2 or Category 3 Investment Services Licence that would like to carry out online forex trading
2015-07-14Notice to applicants for a Category 2 or Category 3 Investment Services Licence that would like to carry out online forex trading
2015-07-14Notice to applicants for a Category 3 Investment Services Licence that would like to carry out binary options trading
2015-05-19Circular on PIFs and AIFs
2015-02-03Circular to the financial services industry on the issue of the PRIIPS Regulation
2015-01-21Circular to the financial services industry on changes regarding the Swiss Franc exchange rate
2014-12-16Thematic Review on compliance of Recognised Fund Administrators with the requirements on Governance and Compliance
2014-11-10Circular to the financial services industry on changes to the Investment Services Rules for Investment Services Providers
2014-10-20Notice to Financial Services Licence Holders - Online Forex Trading
2014-10-03Circular to the financial services industry on changes to the Standard Licence Conditions applicable to Category 4b Investment Services Licence Holders
2014-10-03Circular to the financial services industry on changes to the Investment Services Rules
2014-09-29Thematic Review on compliance with the requirements on Governance, Compliance and Risk Management
2014-08-13Publication of updated Investment Services Rules to implement the provisions on diversification of collateral in ESMA’s revised Guidelines on ETFs and other UCITS
2014-05-12Circular addressed to the financial services industry regarding Legal Notices pursuant to the EU Auctioning Regulation
2014-03-24Circular to the financial services industry on changes to the Investment Services Rules
2014-03-12Circular to the Financial Services Industry on the Publication of Revised MFSA Rule 1 of 2012 on Foreign Currency Lending
2014-03-04Circular addressed to the investment services industry regarding ESMA opinion on MiFID practices for firms selling complex products
2014-02-27Circular regarding the Investment Services Rules for Investment Services Providers in the marketing and distribution of applications to subscribe for financial instruments to be listed on the Malta Stock Exchange
2014-02-04Circular ESMA Remuneration Guidelines for Mifid firms
2013-11-18Circular addressed to the financial services industry on changes to the Investment Services Rules for Investment Services Providers
2013-07-17MFSA Circular on investment services provided in relation to binary options
2013-05-07Publication of Revised Investment Services Rules for Investment Services Providers and Investment Services Rules for Collective Investment Schemes
2012-11-20Circular addressed to the financial services industry regarding the interpretation of article 50 (2) (a) of the UCITS Directive
2012-11-12Circular addressed to the investment services industry regarding amendments to the Q&A on Recognised Incorporated Cell Companies
2012-10-19Circular addressed to the investment services industry regarding amendments to the Investment Services Rules for Investment Services Providers, including UCITS Management Companies
2012-10-09Publication of Revised Investment Services Rules for Investment Services Providers and Investment Services Rules for Retail Collective Investment Schemes
2012-07-24Circular addressed to the investment services industry regarding amendments to the Investment Services Rules for Investment Service providers
2012-07-16Circular addressed to Category 2 and 3 Investment Services Licence Holders regarding the Automatic Execution of Trade Signals
2012-06-12Circular regarding the Authorisation Process for Investment Services Licences
2012-05-28Information Note - Legal Notices L.N. 172 of 2012, L.N. 174 of 2012 and L.N. 175 of 2012
2012-05-11Circular addressed to the investment services industry regarding the transposition of the Third Capital Requirements Directive (“CRD III”)
2012-04-23Circular to the financial services industry on the Companies Act (Recognised Incorporated Cell Companies) Regulations and Investment Services Rules for Recognised Incorporated Cell Companies and Incorporated Cells
2012-04-17Circular
ESMA document
2011-02-07Circular letter regarding the Regulatory Disclosure by investment services licence holders required under Standard Licence Conditions ('SLCs') 7.49 & 7.50 of Part B of the Investments Services Rules for Investment Service Providers ('the Rules').
2011-01-19Updated CRD II and III Circular
2010-10-15Please Click Here
2010-09-13Please Click Here
2010-06-11Circular letter regarding the Risk Management and Internal Capital Adequacy Assessment Process ("RMICAAP")
2010-05-28Please Click Here
2010-04-06Please Click Here
2010-02-05Please Click Here
2009-11-24Please Click Here
2009-11-19Please Click Here
2009-11-10Please Click Here
2009-11-10Please Click Here
2009-11-10Please Click Here
2009-11-10Please Click Here
2009-08-27Please Click Here
2009-08-10Please Click Here
2009-05-04Please Click Here
2009-02-20Please Click Here
2009-02-12Please Click Here
2009-01-23Please Click Here
2009-01-14Please Click Here
2009-01-14Please Click Here
2008-12-10Please Click Here
2008-10-14Please Click Here
2008-09-25Please Click Here
2008-08-20Please Click Here
2008-08-05Please Click Here
2008-07-30Please Click Here
2008-07-22Please Click Here
2008-06-04Please Click Here
2008-05-07Please Click Here
2008-03-14Please Click Here
2008-03-10Please Click Here
2007-11-23Please Click Here
2007-10-30Please Click Here
2007-01-31Please Click Here
2007-01-10Please Click Here
2007-01-10Please Click Here
2007-01-10Third Circular - Attachment II -Invitation – CRD Presentation
2006-12-06Please Click Here
2006-09-22Please Click Here
2006-09-22Please Click Here
2006-09-15Please Click Here
2006-08-21First Circular regarding the EU Capital Requirements Directive
2006-03-06Please Click Here
2006-02-06Please Click Here
2006-01-11Please Click Here
2005-12-21Please Click Here
2005-12-15Please Click Here
2005-12-15Please Click Here
2005-11-30Please Click Here
2005-09-30Please Click Here
2005-08-01Please Click Here
2005-06-27Please Click Here
2005-06-17Please Click Here
2004-06-21Please Click Here
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2004-03-11Please Click Here
2003-10-29Please Click Here
2003-10-23Please Click Here