Investment Services Circulars

SEPTEMBER 14, 2018
Circular to Licence Holders and Applicants for a Licence proposing individuals for an Approved Position
JULY 25, 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
MAY 02, 2018
Circular to the Industry regarding changes to the MFSA’s LH Portal pertaining to the AIFMD reporting procedures
APRIL 24, 2018
Circular to the Industry on the Survey by UK’s Financial Conduct Authority (“FCA”) for EEA firms Passporting into the UK
FEBRUARY 19, 2018
Circular to the Financial Services Industry on changes to Part A of the Investment Services Rules for Investment Services Providers
DECEMBER 29, 2017
Circular on the revised Part BII, Part BIII and Part BIV of the Investment Services Rules for Investment Services Providers
DECEMBER 18, 2017
Circular on the issue of the revised Part BI of the Investment Services Rules for Investment Services Providers
SEPTEMBER 18, 2017
Circular – Critical Supervision and resulting Administrative Measures
JULY 14, 2017
Circular addressed to MiFID Firms on Supplementary Data Collection to Support the New Prudential Framework for Investment Firms
FEBRUARY 08, 2017
Circular to the Financial Services Industry on changes to the Standard Licence Conditions applicable to Category 4 Investment Services Licence Holders