Securities and Markets Supervision - Investment Services


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 126 items in 7 pages
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
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