Investments Archive
DATE | SUBJECT | CONTENT |
---|---|---|
2018-12-28 | Circular: 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 | Circular: 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 |
2018-12-27 | Circular: Guidelines on certain aspects of the MiFID II Suitability requirements | Circular: Guidelines on certain aspects of the MiFID II Suitability requirements |
2018-12-21 | Circular: ESMA consults in measures to promote sustainability in EU capital markets | Circular: ESMA consults in measures to promote sustainability in EU capital markets |
2018-11-09 | Circular: ESMA Q&As on Product Intervention Measures | Circular: ESMA Q&As on Product Intervention Measures |
2018-11-07 | Circular addressed to investment firms on the regulatory requirements in the context of best execution | Circular addressed to investment firms on the regulatory requirements in the context of best execution |
2018-10-09 | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As |
2018-09-28 | ESMA to renew restriction on CFDs for a further three months | ESMA to renew restriction on CFDs for a further three months |
2018-09-28 | ESMA Q&As on Product Intervention Measures | ESMA Q&As on Product Intervention Measures |
2018-09-10 | Circular on Revisions made to the Conduct of Business Rulebook | Circular COB 10092018.pdf |
2018-08-27 | ESMA to renew prohibition on Binary Options | ESMA to renew prohibition on Binary Options |
2018-07-31 | Circular: ESMA Q&As on Product Intervention Measures | Circular: ESMA Q&As on Product Intervention Measures |
2018-07-13 | Circular: ESMA Q&As on Product Intervention Measures | Circular: ESMA Q&As on Product Intervention Measures |
2018-07-13 | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As |
2018-06-20 | Guidelines on certain aspects of the MiFID II Suitability requirement | Guidelines on certainaspects of the MiFID II Suitability requirement |
2018-06-20 | Joint ESMA and EBA Statement on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive | Joint ESMA and EBAStatement on the treatment of retail holdings of debt financial instrumentssubject to the Bank Recovery and Resolution Directive |
2018-06-05 | Circular: ESMA Q&As on Product Intervention Measures | Circular: ESMA Q&As on Product Intervention Measures |
2018-05-30 | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As |
2018-04-06 | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As |
2017-12-20 | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As |
2017-12-18 | Circular: Update on ESMA Statement on the preparatory work of ESMA in relation to Contracts for Difference [CFDs], including rolling spot forex, Binary options and other speculative products | Circular: Update on ESMA Statement on the preparatory work of ESMA in relation to Contracts for Difference [CFDs] |
2017-11-20 | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As |
2017-10-11 | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As | Circular: ESMA MiFID II / MiFIR Investor Protection Q&As |
2017-08-04 | MiFID II Updates | MiFID II Updates |
2017-04-25 | Circular - ESMA MiFID II / MiFIR Investor Protection Q&As | Circular - ESMA MiFID II / MiFIR Investor Protection Q&As |
2017-07-06 | Circular addressed to Category 2 and Category 3 Investment Firms Updates to the COREP Return | Circular addressed to Category 2 and Category 3 Investment Firms Updates to the COREP Return |
2017-04-06 | Preparatory Guidelines on Product Oversight and Governance arrangements by insurance undertakings and insurance distributors as required by the Insurance Distribution Directive (“IDD”) | Preparatory Guidelines on Product Oversight and Governance arrangements by insurance undertakings and insurance distributors as required by the Insurance Distribution Directive (“IDD”) |
2017-04-04 | Update - 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 | Update - 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 |
2017-04-03 | Requirements for Category 2 or Category 3 Investment Services Firms distributing or intending to distribute contracts for differences (CFDs) and/or rolling spot forex contracts under the MiFID regime | Requirements for Category 2 or Category 3 Investment Services Firms distributing or intending to distribute contracts for differences (CFDs) and/or rolling spot forex contracts under the MiFID regime |
2017-01-27 | Circular addressed to Category 2 and Category 3 Investment Firms Clarification on updates to the COREP return | Circular addressed to Category 2 and Category 3 Investment Firms Clarification on updates to the COREP return |
2016-12-20 | Circular addressed to Category 2 and Category 3 Investment Firms in relation to updates to the COREP return | Circular addressed to Category 2 and Category 3 Investment Firms in relation to updates to the COREP return |
2016-10-27 | Circular - Consultation on the Draft guidelines on MiFID II product governance requirements | Circular - Consultation on the Draft guidelines on MiFID II product governance requirements |
2016-10-13 | 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 | 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 |
2016-09-06 | Circular - Update to the Industry on recent developments in relation to upcoming legislation | Circular - Update to the Industry on recent developments in relation to upcoming legislation |
2016-07-29 | 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 | 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 |
2016-07-29 | Circular addressed to the general public, namely to retail investors regarding the sale of speculative products [Contracts for Difference; Binary options; and other speculative products] and the associated risks (MFSA Warning) | Circular addressed to the general public, namely to retail investors regarding the sale of speculative products [Contracts for Difference; Binary options; and other speculative products] and the associated risks (MFSA Warning) |
2016-06-14 | Circular addressed to Investment Firms and Credit Institutions when selling bail-in securities | Circular addressed to Investment Firms and Credit Institutions when selling bail-in securities |
2016-06-14 | Update - 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 | Update - 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 |
2016-05-25 | Circular relating to the consultation process on the Conduct of Business Rulebook – Phase 2: EXTENSION OF CONSULTATION PERIOD | Circular relating to the consultation process on the Conduct of Business Rulebook – Phase 2: EXTENSION OF CONSULTATION PERIOD |
2016-05-05 | Circular relating to the consultation process on the Conduct of Business Rulebook | Circular relating to the consultation process on the Conduct of Business Rulebook |
2015-07-14 | Notice to applicants for a Category 3 Investment Services Licence that would like to carry out binary options trading in terms of the Investment Services Act, Cap. 370 | Notice to applicants for a Category 3 Investment Services Licence that would like to carry out binary options tradingin terms of the Investment Services Act, Cap. 370 |