Securities and Markets Supervision - Investment Services


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 120 items in 6 pages
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
08/08/2016  Circular regarding an EU Consultation document on Review of Macro-Prudential Policy Framework
05/07/2016  Circular to applicants for financial services authorisations
26/05/2016  Circular to the Financial Services Industry on the Consolidation of the Maltese Fund Frameworks
20/05/2016  Circular to the financial services industry on changes to the Investment Services Rules
02/05/2016  Circular addressed to Investment Firms authorised to provide investment advice
26/04/2016  Circular to the financial services industry on the European Long-Term Investment Funds Regulation
15/04/2016  Circular to the financial services industry on changes to the Investment Services Rules following the transposition of the UCITS V Directive
13/04/2016  Circular 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
01/02/2016  Consultation Document – Draft Guidelines on the Market Abuse Regulation
08/01/2016  Circular addressed to Investment Services Licence Holders – Documentation Timetable
05/01/2016  Circular addressed to Investment Services Licence Holders conducting Licensable activities in Foreign Jurisdictions
28/12/2015  Circular addressed to Investment Services Licence Holders
22/12/2015  Thematic Review on compliance with Governance, Compliance and Risk Management