Securities and Markets Supervision - Investment Services


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 133 items in 7 pages
10/12/2018  Circular relating to the submission of online Personal Questionnaires
07/12/2018  Circular 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
13/11/2018  Circular on the revised Part BI of the Investment Services Rules for Investment Services Providers
01/11/2018  Circular to Licence Holders and Applicants who are being proposed to hold a position which requires the MFSA’s prior approval
08/10/2018  Circular to the financial services industry on changes to Appendix 2D
04/10/2018  Circular to Licence Holders on MFSA Licence Holder Corporate Profile
14/09/2018  Circular to Licence Holders and Applicants for a Licence proposing individuals for an Approved Position
25/07/2018  Circular 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
24/04/2018  Circular to the industry on the Survey by UK’s Financial Conduct Authority (“FCA”) for EEA firms passporting into the UK
19/02/2018  Circular to the financial services industry on changes to Part A of the Investment Services Rules for Investment Services Providers
29/12/2017  Circular on the revised Part BII, Part BIII and Part BIV of the Investment Services Rules for Investment Services Providers
18/12/2017  Circular on the issue of the revised Part BI of the Investment Services Rules for Investment Services Providers
18/09/2017  Circular – Critical Supervision and resulting Administrative Measures
14/07/2017  Circular addressed to MiFID Firms on Supplementary Data Collection to Support the New Prudential Framework for Investment Firms
08/02/2017  Circular to the financial services industry on changes to the Standard Licence Conditions applicable to Category 4 Investment Services Licence Holders
26/01/2017  Circular to the Market - Assessment Required Prior To Proposing Individuals for Approved Positions
09/01/2017  Circular on Own Funds Requirements for Investment Firms and Fund Managers based on Fixed Overheads under Article 97(4) of Regulation (EU) No 575/2013
11/11/2016  Circular – Thematic Review on Compliance with the Remuneration provisions in terms of the AIFM Directive
19/08/2016  Circular on Offsite Supervision – Correspondence with the Funds Supervision Team
18/08/2016  Circular addressed to MIFID firms and UCITS/AIFMD firms conducting MIFID services and activities