Consultation Papers & Documents


DATEREFERENCEEXPIRY DATESUBJECT
17/04/201906-201903/05/2019Consultation on Insurance Rules on the Encouragement of Long-Term Shareholder Engagement
Annex III to Chapter 6 of the Insurance Rules
17/04/201905-201903/05/2019Consultation on Pension Rules on Occupational Retirement Schemes on the Encouragement of Long-Term Shareholder Engagement
Appendix 13 to the Pension Rules on Occupational Retirement Schemes
27/03/201904-201930/04/2019Consultation Document on Guidance for Credit Institutions, Payment Institutions and Electronic Money Institutions opening accounts for FinTechs
11/03/201903-201925/03/2019Consultation on the MFSA Guidance on Cybersecurity - Note regarding an Extension of consultation Period
05/03/201901-201918/03/2019Consultation on the MFSA FinTech Strategy - Note regarding an Extension of Consultation Period
08/02/201903-201908/03/2019MFSA Guidance on Cybersecurity Consultation Document
04/02/201902-201925/02/2019Consultation on Amendments to Regulations Issued under the Retirement Pensions Act
Retirement Pensions (Control of Assets) (Amendment) Regulations 2019
Retirement Pensions (Cross-Border) Regulations_2019
Retirement Pensions (Defined Benefit Retirement Schemes) (Amendment) Regulations 2019
Retirement Pensions (Exemption) (Amendment) Regulations 2019
Retirement Pensions (General Provisions of Supervision) Regulations, 2019
Retirement Pensions (Transitional Provisions on Back-Office Administrators) Regulations, 2019
Retirement Pensions (Transitional Provisions) (Revocation) Regulations, 2019
31/01/201901-201901/03/2019MFSA Fintech Strategy - Consultation Document
16/11/201815-201830/11/2018Consultation on Amendments to the Pension Rules for Personal Retirement Schemes issued under the Retirement Pensions Act
Draft Pension Rules for Personal Retirement Schemes
22/10/201814-201816/11/2018Consultation on the Proposed Amendment to the Retirement Pensions Act
A draft Bill amending the Retirement Pensions Act
A Consolidated draft version of the Retirement Pensions Act
19/10/201813-201829/10/2018Consultation Paper - List of the most representative services linked to a payment account
04/09/201812-201811/09/2018Consultation Paper on raising the bar for VFA Agents
31/08/201811-201814/09/2018Consultation Paper on the Virtual Financial Assets Rules for VFA Service Providers
21/08/201810-201831/08/2018Consultation Paper on achieving a Higher Degree of Investor Protection under the Virtual Financial Assets Act
30/07/201809-201813/08/2018Consultation Paper on the Virtual Financial Assets Rules for Issuers of Virtual Financial Assets
12/07/201808-201831/07/2018Consultation Paper on the Virtual Financial Assets Rules for VFA Agents
04/07/201807-201820/07/2018Consultation Paper on the Virtual Financial Assets Regulations to be issued under the Virtual Financial Services Act
08/05/201806-201808/06/2018Consultation on Ancillary Insurance Intermediaries in terms of the Insurance Distribution Directive
Draft Chapter on Ancillary Insurance Intermediary
20/04/201805-201811/05/2018Consultation on Pension Rules implementing Minimum Requirement on the Acquisition and Preservation of Pension Rights
Proposed Appendix 12 to the Pension Rules for Occupational Retirement Schemesissued under the RPA
13/04/201804-2018Circular
Consultation Paper on the Financial Instrument Test
Survey
16/03/201803-201813/04/2018Consultation on Knowledge and Ability Requirements and Continuous Professional Development in terms of the Insurance Distribution Directive
Draft Chapter on Knowledge and Ability
Draft Chapter on Continuous Professional Development
02/03/201802-201816/03/2018Consultation on Amendments to the Banking Act
24/01/201801-201807/02/2018Consultation on Proposed Amendments to the Financial Institutions Act (Cap. 376) and the Banking Act (Cap.371)
Proposed Amendments to Financial Institutions Act
Proposed Amendments to Banking Act
08/01/201808-2017Discussion Paper on Initial Coin Offerings, Virtual Currencies and related Service Providers – Extension of Consultation Period
22/12/201711-201722/01/2018Consultation - Request for Contributions to a Proposed Review of Chapter 11 of the Listing Rules - Takeover Bids
07/12/2017Consultation on Proposed Amendments to Chapter 8 of the Listing Rules Regulating Exchange Traded Funds in Malta
06/12/2017Consultation Document
Draft Pension Rules for Personal Retirement Schemes
Appendices 1 to 5 to the said Rules
30/11/2017Discussion Paper on Initial Coin Offerings, Virtual Currencies and related Service Providers
22/11/2017Consultation Document on Proposed amendments to the Credit Institutions and Financial Institutions (Payment Accounts) Regulations (S.L. 371.18)
Proposed amendments to the Credit Institutions and Financial Institutions (Payment Accounts) Regulations (S.L. 371.18)
13/11/2017Note regarding an Extension of Consultation Period - Proposed Regulation of Collective Investment Schemes investing in Virtual Currencies
23/10/2017Consultation on the Proposed Regulation of Collective Investment Schemes investing in Virtual Currencies
07/08/2017Consultation


Rules Extract from Part BIII of the Investment Services Rules for Investment Service Providers
19/07/2017Note regarding an Extension of Consultation Period
03/07/2017The Consultation Document
A draft Bill amending the Insurance Intermediaries Act
A Consolidated draft version of the Insurance Distribution Act
A Draft Bill amending the Insurance Business Act
The Draft Insurance Distribution(Exemption) Regulations, 2017
16/03/2017Consultation Document

Investment Services Rules for Investment Services Providers:
Part A: The Application Process
Part BI: Rules applicable to Investment Services Licence Holders which qualify as MIFID firms
27/02/2017Consultation Document on the amendments to Chapter 11 of the Listing Rules – Extension of Consultation Period
16/02/2017Consultation
Consultation with the financial services industry with regards to a number of Legal Notices transposing MiFID II
01/02/2017Consultation Document on the amendments to Chapter 11 of the Listing Rules
31/01/2017Note for Consultation – Investment-based Crowdfunding - Extension of Consultation Period
10/01/2017Consultation Document on the proposed Rules for Trustees and other Fiduciaries - Extension of Consultation Period
30/12/2016Consultation Document
Trusts and Trustees Act (Cap. 331)-Rules for Trustees and other Fiduciaries
27/12/2016Consultation on the Proposed Revised Rulebooks applicable to Collective Investment Schemes :
Consultation Document
Investment Services Rules for Alternative Investment Funds
Investment Services Rules for Qualifying Professional Investor Funds
Investment Services Rules for Retail Collective Investment Schemes
23/11/2016Consultation on the Proposed Revised Rulebooks Applicable to Collective Investment Schemes:
Consultation Document
Investment Services Rules for Alternative Investment Funds
Investment Services Rules for Qualifying Professional Investor Funds
Investment Services Rules for Retail Collective Investment Schemes
04/11/2016Consultation on Amendments to the Investor Compensation Scheme Regulations issued under the Investment Services Act
03/11/2016Note for Consultation – Investment-based Crowdfunding:
Note for Consultation
Discussion Paper on Investment-BasedCrowdfunding
20/10/2016Circular related to the consultation process on the proposed amendments to Banking Rule 09 under the Banking Act 1994 - Extension of Consultation Period
17/10/2016Consultation Document on the Proposed Policy as applicable to Online Business Models Distributing or Intending to Distribute Contracts for Difference (CFDs) and/or Rolling Spot Forex Contracts under the MiFID Regime
30/09/2016Consultation on the proposed amendments to Banking Rule 9 ‘Measures addressing Credit Risks arising from the assessment of the quality of Asset Portfolios of Credit Institutions authorised under the Banking Act 1994:
Consultation Document
Banking Rule 9 amendments
16/09/2016Consultation on the Implementation of three new banking rules issued under the Depositor Compensation Scheme Regulations, S.L. 371.09. :
Consultation Document
BR 17 on Management Expenses Contribution Under the Depositor Compensation Scheme Regulations, S.L. 371.09
BR 18 on the Risk-Based Method and the Compensation Contribution Method under the Depositor Compensation Scheme Regulations, S.L. 371.09
BR 19 on Payment Commitments under the Depositor Compensation Scheme Regulations, S.L. 371.09
09/09/2016Consultation on Amendments to the Insurance Rules issued under the Insurance Business Act:
Consultation Document
Annex to Chapter 5
26/08/2016Consultation on Amendements to the Insurance Rules issued under the Insurance Business Act:
The Consultation
Document

Amendments to Chapter 8 of the Insurance Rules
New proposed Annex V - External audit of the Solvency II regulatory returns
28/06/2016Consultation on Amendments to the Listing Rules implementing Audit Committee Requirements:
Consultation Document
Annex A
09/06/2016Consultation on the Implementation of Audit Committee Requirements with respect to Credit Institutions:
Consultation on Audit Committee Requirements
Audit Committee Requirements with respect to Credit Institutions
31/05/2016Consultation on Insurance Rules implementing audit committee requirements:
The Consultation Document
Insurance Rules on Audit Committee Requirements
11/04/2016Consultation - Conduct of Business Rulebook Phase 2:
Consultation Paper
Glossary
Sales Processes
Execution of Clients’ orders
Circular relating to the consultation process on the Conduct of Business Rulebook
Circular relating to the consultation process on the Conduct of Business Rulebook – Phase 2: EXTENSION OF CONSULTATION PERIOD
01/04/2016Consultation on amendments to Insurance Rules issued under the Insurance Business Act:
Consultation Document
Draft amendments to Chapter 5
Annex to Chapter 5
15/03/2016Consultation on the implementation of the EU Payment Accounts Directive
09/03/2016Consultation on amendments to the Insurance Rules issued under the Insurance Business Act:
The Consultation Document
Draft amendments to Chapter 6
Draft amendments to Chapter 8
New Draft Annex IV to Chapter 8
Draft amendments to Chapter 9
Draft amendments to Annex I to Chapter 9
Draft amendments to Chapter 10
Draft amendments to Chapter 12
03/12/2015Consultation on the proposed transposition of the UCITS V Directive:
Consultation Document

Regulations:
Investment Services Act (Custodians of Collective Investment Schemes) Regulations
Investment Services Act (Control of Assets) (Amendment) Regulations
Investment Services Act (UCITS Management Company Passport) (Amendment) Regulations

Revised Investment Services Rules for Investment - Services Providers:
Part BII - Standard Licence Conditions applicable to Investment Services Licence Holders which qualify as UCITS Management Companies
Part BIII - Standard Licence Conditions applicable to Investment Services Licence Holders which qualify as Alternative Investment Fund Manager
Part BIV - Standard Licence Conditions applicable to Investment Services Licence Holders which qualify as Custodians of Collective Investment Schemes

Revised Investment Services Rules for Retail - Collective Investment Schemes:
Part B II - Malta based Retail UCITS Collective Investment Schemes
Appendix I - Contents of the Prospectus
Appendix II - Contents of the Financial Statements
Appendix VIII - Supplementary Licence Conditions Applicable to Self-Managed Schemes

Revised Investment Services Rules for Professional - Investor Funds:
Part A - The Application Process
Part B I - Professional Investor Funds targeting Experienced Investors
Part B II - Professional Investor Funds targeting Qualifying Investors
Part B III - Professional Investor Funds targeting Extraordinary Investors

Revised Investment Services Rules for Alternative - Investment Funds:
Part B - Standard Licence Conditions applicable to Alternative Investment Funds
16/11/2015Consultation on insurance rules to be issued under the Insurance Business Act:
The Consultation Document
The Chapter on Freedom of Establishment and Freedom to provide Services by a European Insurance Undertaking and a European Reinsurance Undertaking
The Chapter on Freedom of Establishment and Freedom to provide Services by a Maltese Insurance Undertaking and a Maltese Reinsurance Undertaking
The Chapter on Provisions applicable to specific classes of general business of insurance
Rules on Separate Management of Long Term Business and General Business
Rules on information for policyholders
05/11/2015Consultation document
30/10/2015Consultation on Insurance Rules to be issued under the Insurance Business Act:
Consultation Document
The Chapter on System of Governance
Annex XX –Guidelines on System of Governance and ORSA
The Chapter on Valuation of assets and liabilities, technical provisions, own funds, Solvency Capital Requirement, Minimum Capital Requirement and investment rules (Solvency II – Pillar 1 Requirements)
The Chapter on Financial Statements and Supervisory Reporting Requirements
Annex XX – Guidelines on reporting and public disclosure
13/10/2015Consultation on Regulations to be issued under the Insurance Business Act:
Consultation Document
Insurance Business (Supervision of Insurance and Reinsurance Undertakings in a Group) Regulations, 2015.
18/09/2015Consultation on regulations to be issued under the Insurance Business Act:
Consultation Document

Regulations:
Insurance Business (Companies Carrying on Business of Affiliated Insurance) (Amendment) Regulations, 2015
Companies Act (Incorporated Cell Companies Carrying on Business of Insurance) (Amendment) Regulations, 2015
Insurance Business (Linked Long Term Contracts) (Amendment) Regulations, 2015
Insurance Business (Approved Auditor) (Amendment) Regulations, 2015
Insurance Business (Continuance of Companies Carrying on Business of Insurance) (Amendment) Regulations, 2015
Companies Act (Cell Companies Carrying on Business of Insurance) (Amendment) Regulations, 2015
Protection and Compensation Fund (Amendment) Regulations, 2015
Insurance Business (Penalties for Offences and Infringements) (Amendment) Regulations, 2015
Insurance Business (Long term Business Contract Statutory Notice) (Amendment) Regulations, 2015
Insurance Business (Reorganisation and Winding Up of Insurance Undertakings) (Amendment) Regulations, 2015
Insurance Business (Reorganisation and Winding Up of Insurance Undertakings) (Consolidated) Regulations, 2004
European Passport Rights for Insurance and Reinsurance Undertakings Regulations, 2015
Insurance Business (Commission Delegated Regulation on Solvency II) Regulations, 2015
Insurance Business (Exemptions) Regulations, 2015
Insurance Business (Maintenance of Assets) Regulations, 2015
Insurance Business (General Provisions of Supervision) Regulations, 2015
Insurance Business (Solvency II Transitional Provisions) Regulations, 2015
Insurance Business (Criteria of Sound and Prudent Management) (Revocation) Regulations, 2015
Insurance Business (Companies Accounts) (Revocation) Regulations, 2015
19/08/2015Draft regulations transposing Directive 2014/49/EU on deposit guarantee schemes, and other ancillary rules
25/06/2015Request for Feedback

Request for feedback in relation to the Drawing up of a provisional list of the most representative services linked to a payment account and subject to a fee under the Payment Accounts Directive (2014/92/EU)

29/05/2015Notice of extension of the consultation period in relation to the Proposed Conduct of Business Rulebook
06/05/2015Consultation Document relating to the creation of a proposed Conduct of Business Rulebook:
Consultation Document
Glossary
Chapter 1 - Disclosure
Chapter 2 - Product Governance
Chapter 3 - Conflicts of Interest
10/03/2015MFSA Consultation on the regulatory approach applicable to licensed PIFs and AIFs
09/03/2015Consultation Document
Draft QuarterlyNational Specific Templates
Quantitative reporting requirements under Solvency II
12/02/2015Proposals for Amendment of Insurance Rule 32 of 2014:
Consultation Document
Proposed amendments to Insurance Rule 32 of 2014
Draft Annex I
Draft Annex II
Draft Annex III
22/12/2014Consultation on the proposed amendments to the Insurance Business Act and Insurance Intermediaries Act:
Consultation Document
Consolidated Draft Version of the Insurance Business Act
Draft Billamending theInsurance Business Act, Cap.403
Draft Bill amending theInsurance Intermediaries Act, Cap. 487
12/12/2014Consultation Document on the Proposed Regulation on use of trusts for persons with disability:
Consultation Document
Proposed Rules on the use of Trusts for Persons with Disability
25/11/2014Consultation Document
Proposed Rules for trustees of family trusts
19/11/2014Consultation Document on the Proposed Rules for Private Equity Funds:
Consultation Note
Draft Investment Services Rules forProfessional Investor Funds
Draft Investment Services Rules for Alternative Investment Funds
04/09/2014Consultation Document on the Proposals for Securitisation Cell Companies Regulations:
Consultation Document
Securitisation Cell Companies Regulations
30/06/2014Consultation Document on CRD IV for Investment Firms
02/06/2014Consultation on the proposed amendments to the Tenth Schedule of the Companies Act:
Consultation Document
Revisions to the Tenth Schedule of the Companies Act
03/03/2014Consultation on Insurance Intermediaries Rule 25 of 2014:
Consultation Document
Insurance Intermediaries Rule 25 of 2014
27/01/2014Proposed Conduct of Business Rules for the enhanced protection of customers in investment services (Updated 29 Jan 2014):
Consultation Document
Recommendations (Updated 29 Jan 2014)
10/01/2014Consultation on Amendments to Insurance Business (Assets and Liabilities) Regulations, 2007:
Consultation Document
Insurance Business (Assets and Liabilities) (Amendment) Regulations 2014
07/01/2014Consultation on the Proposed Rules for Company Services Providers:
Consultation document
DraftRules for Company Services Providers
Extension of the consultation period
19/12/2013Consultation on the proposed review of Fees for Insurers, Reinsurers, Insurance Intermediaries And Retirement Funds for the period 2014 to 2018:
Consultation Document
Insurance Business Act (Cap 403) Insurance Business (Fees) Regulations, 2013
Insurance Intermediaries Act (Cap 487) Insurance Intermediaries (Fees) Regulations, 2013
Special Funds Act (Cap 450) Special Funds (Fees) Regulations, 2013
18/11/2013Consultation on the proposed review of fees for Investment Service Providers, Collective Investment Schemes, Regulated Markets, Central Securities Depositaries and Admissibility to listing for the period 2014 to 2018:
Consultation Document
Investment Services Act (Cap. 370)Investment Services Act (Fees) Regulations, 2013
06/11/2013Consultation on the proposed review of fees for Credit and Financial Institutions for the period 2014 to 2018:
Consultation Document
BANKING ACT (CAP. 371) Credit Institutions (Fees) (Amendment) Regulations, 2013
FINANCIAL INSTITUTIONS ACT (CAP. 371) Financial Institutions (Fees) (Amendment) Regulations, 2013
18/09/2013Consultation on the proposed implementation of the Alternative Investment Fund Managers Directive
30/08/2013Consultation on the proposed amendments to Banking Rule BR/09 - Credit Risk Provisioning By Credit Institutions Authorised Under The Banking Act 1994:
Consultation Document
Banking Rule BR/09
20/06/2013Consultation procedure on the draft Financial Collateral Arrangements (Amendment) Regulations 2013:
Consultation Document
SET-OFF AND NETTING ON INSOLVENCY ACT (CAP. 459) - Financial Collateral Arrangements (Amendment) Regulations, 2013
18/06/2013Consultation on the proposed implementation of the Alternative Investment Fund Managers Directive:
Consultation Document
Investment Services Rules for Retail Collective Investment Schemes - Part A: The Application Process
Investment Services Rules for Retail Collective Investment Schemes - Schedule A - Application for a Licence to operate as a Malta Based Retail Collective Investment Scheme
Investment Services Rules for Retail Collective Investment Schemes - Schedule 3- Competency Form
Investment Services Rules for Retail Collective Investment Schemes - Part B- Standard Licence Conditions - Part BI: Malta based Retail Non-UCITS Collective Investment Schemes
Investment Services Rules for Retail Collective Investment Schemes - Appendix IX - AIF-Specific Information to be provided
31/05/2013Consultation on the proposals for Reinsurance Special Purpose Vehicles Regulations:
Consultation Document
INSURANCE BUSINESS ACT (CAP. 403) - Reinsurance Special Purpose Vehicles Regulations, 2013
24/05/2013Consultation on the proposed implementation of the Alternative Investment Fund Managers Directive:
Consultation Document
Investment Services Rules for Professional Investor Funds - Part A: The Application Process
Investment Services Rules for Professional Investor Funds - Part B: Standard Licence Conditions - Appendix I: Supplementary Licence Conditions
Investment Services Rules for Professional Investor Funds - Part B: Standard Licence Conditions - Appendix III: Declaration Forms
Investment Services Rules for Professional Investor Funds - Part B: Standard Licence Conditions - Appendix V -AIF-Specific Information to be provided
01/04/2013Consultation on Regulations and Pension Rules to be issued under the Retirement Pensions Act:
Consultation Document

Regulations:
Investment Companies with Variable Share Capital As Retirement Schemes or Retirement Funds Regulations, 2013
Investment Services Act (Exemption) (Amendment) Regulations, 2013
Retirement Pensions (Control of Assets) Regulations, 2013
Retirement Pensions (European Passport Rights for Institutions for Occupational Retirement Provision) Regulations, 2013
Retirement Pensions (Exemption) Regulations ,2013
Retirement Pensions (Retirement Defined Benefit Schemes) Regulations, 2013
Retirement Pensions (Transitional Provisions) Regulations, 2013
Special Funds (Registration of Retirement Fund Custodians) (Repeal) Regulations, 2013
Special Funds (Regulation) Act (Retirement Schemes Exemption) (Repeal) Regulations, 2013

Pension Rules:
Glossary of Terms
Pension Rules for Occupational Retirement Schemes Issued in Terms of the Retirement Pensions Act, 2011
Pension Rules for Personal Retirement Schemes Issued In Terms of the Retirement Pensions Act, 2011
Pension Rules for Retirement Funds Issued in Terms of the Retirement Pensions Act, 2011
Pension Rules for Service Providers Issued In Terms of the Retirement Pensions Act, 2011
Financial Returns
26/03/2013Consultation on the Alternative Investment Fund Rulebook
22/03/2013Consultation on the proposed transposition of Directive 2011/89/EU [FICOD I]:
Consultation Document
Financial Conglomerates Regulations, 2013
Insurance Business (Assets and Liabilities) (Amendment) Regulations, 2013
Insurance Business (Supplementary Supervision of Insurance and Reinsurance Undertakings in an Insurance Group) (Amendment) Regulations, 2013
22/03/2013Consultation on the emissions allowances Auctioning Regulation applicable to Investment firms and Credit Institutions
22/03/2013Consultation on the Rulebook applicable to de minimis Licence Holders
12/03/2013Consultation on the proposed introduction of an Annual Compliance Return for Trustees and other Fiduciaries:
Consultation Document
Annual Compliance Return
19/02/2013Consultation Procedure on the proposed amendments to the Listing Policies:
Consultation document
Listing Authority Policies
14/02/2013Note regarding an extension of the consultation period
29/01/2013Consultation on the proposed implementation of the Guidelines for Competent Authorities and UCITS Management Companies - Guidelines on ETFs and other UCITS issues:
Consultation Document
Investment Services Rules for Investment Services Providers -Part B - Appendix 11: Supplementary Licence Conditions on Risk Management, Counterparty Risk Exposure and Issuer Concentration
Investment Services Rules forRetail Collective Investment Schemes -Part B -Appendix I: Contents of the Prospectus
Investment Services Rules for Retail Collective Investment Schemes - Part B - Appendix II: Contents of the Financial Statements
Investment Services Rules for Retail Collective Investment Schemes - Part B - Part BII: Malta based UCITS Collective Investment Schemes
14/12/2012Consultation on the proposed amendments to the Trusts and Trustees Act and other related legislation:
Consultation Document
Draft Bill amending the Trusts and Trustees Act
Consolidated version of the Trusts and Trustees Act reflecting the changes being proposed
Draft Trusts and Trustees Act (Registration of Notaries to act as Qualified Persons) Regulations
Draft Trusts and Trustees Act (Notarial Trust Deeds, Registration, Conservation and Access) Regulations
03/12/2012Consultation on the proposed implementation of the Alternative Investment Fund Managers Directive
29/11/2012Note regarding an extension of the consultation period
23/11/2012Consultation on the introduction of the proposed regulatory regime for Company Services Providers:
Consultation Procedure
Company Services Providers Regulations - Draft
12/11/2012Note regarding an extension of the consultation period
22/10/2012Consultation Procedure on the proposed Companies Act (Investment Companies with Variable Share Capital) (Amendment) Regulations 2012 and accompanying amendments to the Investment Services Rules:
Consultation Document
Annex I
15/10/2012Consultation procedure on the proposed Insurance Rule entitled “Complaints Handling by Authorised Companies:
Consultation Document
Insurance Rule 30 of 2012
03/09/2012Consultation Procedure on the proposed transposition of certain requirements of the Alternative Investment Fund Managers Directive
30/03/2012Depositor Compensation Scheme – Consultation on Fast Payout and Reform of Reporting Requirements
08/02/2012Note regarding an extension of consultation period
30/01/2012Bill - An Act to amend various financial services laws
30/01/2012Consultation Procedure on the Proposal for a Bill entitled the ‘Various Financial Services Laws (Amendment) Act, 2012’
12/12/2011Consultation document on the proposed amendments to the Listing Policies relating to the preparation of the Financial Soundness Report
11/11/20114 - Investment Services Rules for Recognised Incorporated Cell Companies – Part B
11/11/20113 - Investment Services Rules for Recognised Incorporated Cell Companies – Part A
11/11/20112 - Companies Act (Recognised Incorporated Cell Companies) Regulations 2011
11/11/20111 - Consultation Procedure on the Proposals for Recognised Incorporated Cell Companies Regulations
03/11/20112 - Second Tier Market Rules - Appendix 1
03/11/20111 - Consultation document on the proposed Second Tier Market Rules
12/08/2011Consultation document on the proposed amendments to Listing Authority policies published on 16th August 2010
26/07/2011Consultation document on the proposed amendments to Listing Rule 4.55 and the introduction of other Listing Rules regarding Advertisements
21/06/20113 - Insurance Intermediaries Rule 18 of 2007
21/06/20112 - Insurance Intermediaries Rule 17 of 2007
21/06/20111 - Consultation Procedure on Proposals for Insurance Intermediaries Rules
19/05/20111 - Consultation Procedure on the proposed changes to the Investment Services Rules for Retail Collective Investment Schemes largely to transpose the UCITS IV Directive
19/05/20112 - Investment Services Rules for Retail Collective Investment Schemes – Part A: The Application Process
19/05/20113 - Investment Services Rules for Retail Collective Investment Schemes – Schedule A
19/05/20114 - Investment Services Rules for Retail Collective Investment Schemes – Schedule C
19/05/20115 - Investment Services Rules for Retail Collective Investment Schemes – Schedule D
19/05/20116 – Investment Services Rules for Retail Collective Investment Schemes – Part BI: Standard Licence Conditions for Malta based Retail Non-UCITS Collective Investment Schemes
19/05/20117 - Investment Services Rules for Retail Collective Investment Schemes – Part BII: Standard Licence Conditions for Malta based Retail UCITS Collective Investment Schemes
19/05/20118 - Investment Services Rules for Retail Collective Investment Schemes – Appendix 1
19/05/20119 - Investment Services Rules for Retail Collective Investment Schemes – Appendix 2
19/05/201110 - Investment Services Rules for Retail Collective Investment Schemes – Appendix 3
19/05/201111 – Investment Services Rules for Retail Collective Investment Schemes – Appendix 6
19/05/201112 - Investment Services Rules for Retail Collective Investment Schemes – Appendix 7
19/05/201113 - Investment Services Rules for Retail Collective Investment Schemes – Appendix 8
12/05/20118 - STMENT SERVICES RULES FOR INVESTMENT SERVICES PROVIDERS- PART C: RULES FOR PERSONS EXERCISING EUROPEAN PASSPORT RIGHTS IN MALTA - Part C II: Rules for European Management Companies providing services in Malta
12/05/20117 - INVESTMENT SERVICES RULES FOR INVESTMENT SERVICES PROVIDERS- PART B: STANDARD LICENCE CONDITIONS - Appendix 11- Supplementary Licence Conditions on Risk Management, Counterparty Risk Exposure and Issuer Concentration
12/05/20116 - INVESTMENT SERVICES RULES FOR INVESTMENT SERVICES PROVIDERS - PART BII: STANDARD LICENCE CONDITIONS APPLICABLE TO UCITS MANAGEMENT COMPANIES
12/05/20115 - INVESTMENT SERVICES RULES FOR INVESTMENT SERVICES PROVIDERS - PART BI: STANDARD LICENCE CONDITIONS APPLICABLE TO INVESTMENT SERVICES LICENCE HOLDERS (EXCLUDING UCITS MANAGEMENT COMPANIES)
12/05/20114 - INVESTMENT SERVICES RULES FOR INVESTMENT SERVICES PROVIDERS - Schedule EII
12/05/20113 - INVESTMENT SERVICES RULES FOR INVESTMENT SERVICES PROVIDERS - Schedule DII
12/05/20112 - INVESTMENT SERVICES RULES FOR INVESTMENT SERVICES PROVIDERS - PART A: THE APPLICATION PROCESS
12/05/20111 - Consultation Procedure on the proposed changes to the Investment Services Rules largely to transpose the UCITS IV Directive
05/05/2011Consultation on the proposed new Regulations to transpose certain requirements of the UCITS IV Directive
25/03/20113 - Proposed Financial Institutions Rule
25/03/20112 - Amendments of the Financial Institutions Act
25/03/20111 - Consultation Note - Proposal for amendments to Financial Institutions Act (E-Money Institutions), and new Financial Institutions Rule FIR/03
14/03/2011Consultation document on the transposition of the UCITS IV and the implementation of the CESR MMF Guidelines
28/12/2010Draft Financial Collateral Arrangements (Amendment) Regulations, 2011
28/12/2010Consultation Note - Proposals for Legal Notices / Ministerial Regulations and for new laws and amendments to existing laws - Draft Financial Collateral Arrangements (Amendment) Regulations, 2011
02/12/201037-2010 - Note for Information.pdf
08/11/2010Rule on programmed withdrawal arrangements
24/09/2010Consultation Paper proposing amendments to Insurance Intermediaries Rule 13 of 2007 - ‘Monies held in a fiduciary capacity’
26/08/2010Consultation on draft regulations on Contractual Funds in terms of the Investment Services Act 1994 - Revised version of the Investment Services Act (Contractual Funds) Regulations, 2010
26/08/2010Consultation on draft regulations on Contractual Funds in terms of the Investment Services Act 1994 - Proposed Draft Rules applying to the use of SPVs by Contractual Funds
26/08/2010Consultation on draft regulations on Contractual Funds in terms of the Investment Services Act 1994 - Feedback Statement
24/08/2010Consultation Note - Financial Institutions Act (Safeguarding of funds) Regulations 2010
24/08/2010Draft Financial Institutions Act (Safeguarding of funds) Regulations 2010
05/07/2010Consultation Document on Listing Authority Policies
15/06/2010Companies Act Tenth Schedule Regulations 2010
15/06/2010Consultation Procedure - Explanatory Note Re- Companies Act Tenth Schedule Regulations 2010
19/05/2010Consultation - Financial Markets Act (Credit Rating Agencies) Regulations, 2010
01/04/2010Extension of consultation period -Amendments to Listing Rules
30/03/2010Insurance - Draft Amendments - Companies Act (Incorporated Cell Companies Carrying on Business of Insurance) Regulations 2010
30/03/2010Insurance - Note for Consultation - Amendments to Companies Act (Incorporated Cell Companies Carrying on Business of Insurance) Regulations2010
15/03/2010Amendments to Chapter 15 of the Listing Rules
15/03/2010Circular regarding amendments to Chapter 15 of the Listing Rules
02/03/2010Circular regarding the publication of transactions conducted by PDMRs
13/01/2010Amendments to Listing Rules - 10 -Appendix 8.1 – The Code of Principles of Good Corporate Governance
13/01/2010Amendments to Listing Rules - 10 -Appendix 8.1 – The Code of Principles of Good Corporate Governance (With track changes)
13/01/2010Amendments to Listing Rules - 9 - Chapter 16 – Public Sector Issuers
13/01/2010Amendments to Listing Rules - 9 - Chapter 16 – Public Sector Issuers (With track changes)
13/01/2010Amendments to Listing Rules - 8 - Chapter 14 – Property Companies
13/01/2010Amendments to Listing Rules - 8 - Chapter 14 – Property Companies (With track changes)
13/01/2010Amendments to Listing Rules - 7 - Chapter 11 – Circulars
13/01/2010Amendments to Listing Rules - 7 - Chapter 11 – Circulars (With track changes)
13/01/2010Amendments to Listing Rules - 6 - Chapter 8 – Continuing obligations
13/01/2010Amendments to Listing Rules - 6 - Chapter 8 – Continuing obligations (With track changes)
13/01/2010Amendments to Listing Rules - 5 - Chapter 5 – Application for Admissibility to Listing
13/01/2010Amendments to Listing Rules - 5 - Chapter 5 – Application for Admissibility to Listing (With track changes)
13/01/2010Amendments to Listing Rules - 4 -Chapter 3 – Conditions for the Admissibility to Listing
13/01/2010Amendments to Listing Rules - 4 -Chapter 3 – Conditions for the Admissibility to Listing (With track changes)
13/01/2010Amendments to Listing Rules - 3 -Chapter 2 – Sponsors and their responsibilities
13/01/2010Amendments to Listing Rules - 3 -Chapter 2 – Sponsors and their responsibilities (With track changes)
13/01/2010Amendments to Listing Rules - 2 - Revised Definitions Section of the Listing Rules
13/01/2010Amendments to Listing Rules - 1 - Explanatory Note
03/12/2009The Use and Approval of Internal Models for Regulatory Capital Purposes in Insurance
10/11/2009Prudential assessment of acquisitions and increase of shareholdings in Credit Institutions authorised under the banking act 1994
10/11/2009Banking - Banking Rules BR/13: Note for consultation
10/11/2009Insurance Rule 29 of 2009 - Prudential assessment of acquisitions and increase of holdings in authorised companies
10/11/2009Insurance - Note for consultation - Insurance Rule 29 of 2009
10/11/2009Investments - Note for consultation on amendments to Investment services Rules for ISP
10/11/2009Proposed Article 13 to Part A of the Investment Services Rules for ISP
10/11/2009Schedule G
10/11/2009Schedule H
30/10/2009Banking - Note for Consultation October 2009 (OWN FUNDS)
30/10/2009New Banking Rule on Outsourcing by Credit Institutions (BR14)
28/10/2009Transposition of the Shareholders’ Rights Directive (Directive 2007/36/EC)
17/09/2009EC consultation on European Financial Supervision - summary of responses covering document
10/09/2009Consultation on proposed amendments to the Investment Services Rules applicable to Professional Investor Funds targeting Experienced Investors - Covering letter
27/08/2009Note for Consultation - Amendments to the Investment Service Act (Tied Agents) Regulations (LN327 of 2007) and to the European Passport Rights for Credit Institutions Regulations (LN88 of 2004)
10/08/2009Consultation - Amendment ISA Exemption Regulations
27/07/2009Proposals for legal notices / Ministerial Regulations and for a new laws and amendments to existing laws
02/07/2009Second set of Consultation Papers on Solvency II Level 2 Implementing Measures
16/06/2009EU Consultation: Responsible Lending & Borrowing in the EU
16/06/2009EU Consultation: The Report of the Expert Group on Credit Histories
29/05/2009EU Public Consultation: Review of the Directive on Deposit Guarantee Schemes
26/05/2009Financial Institutions Act (Cap. 376) - Transposing Titles I and II of the Directive 2007/64/EC of the European Parliament and of

Financial Institutions Act (Cap. 376) - Transposing Titles I and II of the Directive 2007/64/EC of the European Parliament and of the Council of 13 November 2007 on payment services in the internal market - Draft version
26/05/2009Explanatory Note - Financial Institutions Act (Cap. 376) - Transposing Titles I and II of the Directive 2007/64/EC of the European Parliament and of the Council of 13 November 2007 on payment services in the internal market
21/05/2009Consultation on proposed amendments to the Investment Services Rules applicable to Professional Investor Funds targeting Experienced Investors
11/05/2009Insurance Rule 22 of 2009 - Exercise of Passport Rights by European Insurance Undertakings and European Reinsurance Undertakings - Establishment
11/05/2009Insurance Rule 23 of 2009 - Exercise of Passport Rights by European Insurance Undertakings - Services
11/05/2009Insurance Rule 24 of 2009 - Exercise of Passport Rights by Maltese Insurance Undertakings and Maltese Reinsurance Undertakings - Establishment
11/05/2009Insurance Rule 25 of 2009 - Exercise of Passport Rights by Maltese Insurance Undertakings - Services
11/05/2009Explanatory Note - Proposals for Insurance Rules
22/04/2009Consultation Procedure: Special Funds (Regulation) Act (Retirement Schemes Exemption) Regulations, 2009 (“Exemption Regulations”)
02/03/2009Securities – Note for Consultation – Amendments to Investment Services Act
02/03/2009Banking – Draft Amendments to Banking Act
02/03/2009Banking – Note for Consultation – Amendments to Banking Act
02/03/2009Insurance – Draft Amendments to Insurance Intermediaries Act
02/03/2009Insurance – Draft Amendments to Insurance Business Act
02/03/2009Insurance – Note for Consultation – Amendments to Insurance Business Act and Insurance Intermediaries Act
02/03/2009Securities – Draft Amendments to Investment Services Act
20/02/2009The requirement to prepare a corporate goverance statement under Directive 2006/46/EC.
02/02/2009Insurance Rule 7 of 2009 – Separate Management of Long Term Business and General Business
02/02/2009Insurance Rule 17 of 2009 – Authorisation to Act as Approved Auditor
02/02/2009Insurance Rule 20 of 2009 – Assistance Insurance
02/02/2009Insurance Rule 27 of 2009 – Insurers’ Internal Controls
02/02/2009Insurance Intermediaries Rule 7 of 2007 – Code of Insurance Selling Practice
02/02/2009Proposals for Insurance Rules and Insurance Intermediaries Rules
13/01/2009EU Commission issues a consultation paper on Hedge Funds
13/01/2009EU Commission launches consultation on review of Prospectus Directive
19/12/2008CESR issues a consultation paper on Transparency of Corporate Bond Structured Finance Products and Credit Derivatives Markets
15/12/2008Covering letter in respect of the consultaion of the new BR-07
15/12/2008Draft revised Banking Rule 7 (BR/07)
10/12/2008Consultation Document on the transposition of the Capital Requirements Directive Pillar III requirements.
20/08/2008Circular on the transposition of the Capital Requirements Directive (“CRD”) – Pillar II Requirements
23/07/2008Insurance Intermediaries (Introducers) Regulations2008
03/07/2008Draft Insurance Business (Companies Accounts) Regulations
03/07/2008Note for consultation (Accounts Regulations)
26/05/2008Consultation Document - Islamic Finance In Malta - Application to Banking and Securities
12/05/2008Insurance Intermediaries Rule 5 of 2008
12/05/2008Insurance Intermediaries Rule 23 of 2008
12/05/2008Insurance Rule 8 of 2008
12/05/2008Insurance Rule 14 of 2008
12/05/2008Consultation - Subsidiary Legislation in terms of the Trusts and Trustees Act
05/05/2008Consultation paper on PCF Regulations
05/05/2008Protection and Compensation Fund Regulations2008
05/05/2008Proposed amendments to the Companies Act (Investment Companies with Variable Share Capital) Regulations, 2006
05/05/2008Note for Consultation – Insurance and Insurance Intermediaries Rules
28/04/2008Changes toListing Rules - Changes to Index & Definitions
28/04/2008Changes toListing Rules - Explanatory Note Re transposition of Directive
28/04/2008Changes toListing Rules - Chapter 8 transposing Directive 200714EC
28/04/2008Changes toListing Rules - Chapter 9 transposing Directive 200714EC
14/03/2008Fourth Circular – First Consultation Document on the Transposition of the Capital Requirements Directive Pillar I requirements on consolidated supervision
06/02/2008Note for Consultation - Insurance Rules
29/11/2007Brief note for consultation purposes to accompany draft new regulations implementing EU Directive on Cross-Border Mergers of Limited Liability Companies (Directive 2005 / 56 / EC)
29/11/2007Cross-Border Mergers of Limited Liability Companies Regulations, 2007
09/10/2007Note for Consultation
09/10/2007Consultation Procedure - Proposal for Legal Notices/Ministerial Regulations and for new Laws and amendments to existing laws
09/10/2007Companies Act (Cell Companies Carrying on Business of Insurance) (Amendment) Regulations, 2007
09/07/2007Annex B - Instructions to complete Forms 1 to 20 in part D part 1
09/07/2007Annex A - Part D.1 - Long-Term Business of Insurance Statements
09/07/2007Note for Consultation - Insurance Rules
09/07/2007Annex C - Part D Part 2 -Abstarct of the Valuation Report prepared by the appointed actuary
06/07/2007Insurance Rule 28 of 2007 - Insurance Companies carrying on Business of Insurance through the Internet
06/07/2007Insurance Intermediaries Rule 23 of 2007 - European Insurance Undertakings Applying for Enrolment of Persons in the Tied Insurance Intermediaries List
06/07/2007Insurance Rule 14 of 2007 - Insurance Advertisements and Other Promotional Activities
06/07/2007Insurance Rule 8 of 2007 - Qualifications of Individuals Who Effectively Direct the Business or Manage the Affairs of Insurance Companies, or Branches Thereof
06/07/2007Insurance Rule 5 of 2007 - Mutual Associations
06/07/2007Insurance Rule 4 of 2007 - Specified Effective Period with Respect to Certain Contracts of Long Term Business
06/07/2007Note for Consultation -Insurance Rules and Insurance Intermediaries Rules
08/06/2007Explanatory Note - Consultation regarding the Review of the Regulatory Framework under the Special Funds (Regulation) Act
08/06/2007Circular - Consultation regarding the Review of the Regulatory Framework under the Special Funds (Regulation) Act
08/06/2007Draft Bill - To Regulate Retirement Schemes, Retirement Funds and Service-Providers related thereto
24/05/2007Consultation on proposed LegalNotices to be issued under the Financial Markets Act, 1990 and the Investment Services Act, 1994 as part of the transposition of the Markets in Financial Instruments Directive (‘MiFID’)
11/05/2007Insurance Rule 1 of 2007 - Own Funds of Companies Carrying on Business of Insurance (Draft)
11/05/2007Insurance Business (Assets and Liabilities) Regulations, 2007 (Draft)
11/05/2007Note for Consultation - EU Reinsurance Directive
23/03/2007Note for Consultation - Insurance Business Act and Insurance Intermediaries Act
23/03/2007Amendment of the Insurance Business Act Cap. 403 and Amendment of the Insurance Intermediaries Act Cap.487
06/03/2007The introduction of a new Professional Investor Funds Sourcebook and a new class of Professional Investor Funds targeting Extraordinary Investors
05/02/20077th Circular –CESR consultation documents on the Best Execution and Transaction Reporting requirements under MiFID
05/02/2007CESR Consultation paper – Best Execution under MiFID
05/02/2007CESR Consultation paper – Transaction Reporting under MiFID
10/01/2007Third Circular - 2nd Consultation document on the transposition of the Capital Requirements Directive
10/01/2007Third Circular - Attachment I - CRD - Automated Financial Return – Test
10/01/2007Third Circular - Attachment II -Invitation – CRD Presentation
27/12/20062nd MiFID Consultation document - transposition/implementation of the MiFID transaction reporting requirements
21/12/2006Consultation on the draft amendments to the Listing Rules and the Financial Markets Act to transpose the Transparency Directive.
06/12/2006Second Circular – 1st Consultation document on the transposition of the Capital Requirements Directive
13/11/2006Consultation on new Rules to be issued transposing MiFID
26/05/2006Consultation on Takeover Bids Directive
09/12/2005Deadline for Consultation on Corporate Governance has been extended to the 28 February 2006
03/11/2005Consultation on Corporate Governance (Public Interest)
03/11/2005Consultation on Corporate Governance (Listed Companies)