Investment Services Circulars

DECEMBER 16, 2014
Thematic Review on compliance of Recognised Fund Administrators with the requirements on Governance and Compliance
NOVEMBER 10, 2014
Circular to the Financial Services Industry on changes to the Investment Services Rules for Investment Services Providers
OCTOBER 20, 2014
Notice to Financial Services Licence Holders – Online Forex Trading
OCTOBER 03, 2014
Circular to the Financial Services Industry on changes to the Investment Services Rules
OCTOBER 03, 2014
Circular to the Financial Services Industry on changes to the Standard Licence Conditions applicable to Category 4b Investment Services Licence Holders
SEPTEMBER 29, 2014
Thematic Review on Compliance with the Requirements on Governance, Compliance and Risk Management
AUGUST 13, 2014
Publication of updated Investment Services Rules to Implement the Provisions on Diversification of Collateral in ESMA’s revised Guidelines on ETFs and other UCITS
MAY 12, 2014
Circular addressed to the Financial Services Industry regarding Legal Notices Pursuant to the EU Auctioning Regulation
MARCH 24, 2014
Circular to the Financial Services Industry on changes to the Investment Services Rules
MARCH 04, 2014
Circular addressed to the Investment Services Industry regarding ESMA opinion on MiFID Practices for Firms Selling Complex Products