Investment Services & Collective Investment Schemes
In this section you will find the Acts of Parliament which lay down the framework of the regulatory regime applicable to investment firms. These provide for the regulatory structure for the supervision of these entities and include, amongst others, the powers of the Authority to grant, refuse, cancel and suspend licences issued to investment firms and to impose sanctions on these entities in specific circumstances. These would also contain enabling clauses allowing the Minister responsible for the regulation of financial services to issue subsidiary legislation as well as the MFSA, as competent authority, to issue Rules to further supplement the provisions in the main Act.
Subsidiary Legislation
S.L. 370.02 – Investment Services Act (Exemption) Regulations
S.L. 370.03 – Investment Services Act (Fees) Regulations
S.L. 370.04 – Investment Services Act (Prospectus of Collective Investment Schemes) Regulations
S.L. 370.05 – Investment Services Act (Control of Assets) Regulations
S.L. 370.09 – Investor Compensation Scheme Regulations
S.L. 370.10 – European Passport Rights for Investment Firms Regulations
S.L. 370.12 – Investment Services Act (Performance Fees) Regulations
S.L. 370.14 – Investments Services Act (Tied Agents) Regulations
S.L. 370.15 – Investment Services Act (Supervisory Review) Regulations
S.L. 370.16 – Investment Services Act (Contractual Funds) Regulations
S.L. 370.18 – Investment Services Act (Marketing of UCITS) Regulations
S.L. 370.19 – Investment Services Act (UCITS Mergers) Regulations
S.L. 370.20 – Investment Services Act (UCITS Management Company Passport) Regulations
S.L. 370.21 – Investment Services Act (Marketing of Alternative Investment Funds) Regulations
S.L. 370.22 – Investment Services Act (Alternative Investment Fund Manager) (Passport) Regulations
S.L. 370.23 – Investment Services Act (Alternative Investment Fund Managers) Regulations
S.L. 370.25 – CRD (Administrative Penalties, Measures and Investigatory Powers) Regulations
S.L. 370.26 – Investment Services Act (European Venture Capital Funds) Regulations
S.L. 370.27 – Investment Services Act (European Social Entrepreneurship Funds) Regulations
S.L. 370.28 – Investment Services Act (Access to Emissions Allowance Auction) Regulations
S.L. 370.29 – Over-Reliance on Credit Rating Regulations
S.L. 370.30 – Investment Firms (Reorganisation and Winding-up) Regulations
S.L. 370.31 – Investment Services Act (European Long-Term Investment Funds) Regulations
S.L. 370.32 – Investment Services Act (Custodians of Collective Investment Schemes) Regulations
S.L. 370.34 – Investment Services Act (List of Notified AIFs) Regulations
L.N. 240 of 2021 – Investment Services Act (List of Notified AIFs) (Amendment) Regulations, 2021
S.L. 370.35 – Local Central Counterparties Access Regulations
S.L. 370.37 – Data Reporting Services Regulations
S.L. 370.38 – Algorithmic Trading Regulations
S.L. 370.39 – Multilateral Trading Facilities and Organised Trading Facilities Regulations
S.L. 370.41 – Markets in Financial Instruments Regulations
S.L. 370.42 – Investment Services Act (Tied Agents) Regulations
S.L. 370.44 – Investment Services Act (Money Market Funds) Regulations
