Notices and Decisions

JULY 31, 2023
Termination of Registration by Lombard Bank Malta p.l.c
Lombard Bank Malta p.l.c (“the Company”) requested the Malta Financial Services Authority (“MFSA”) to accept the termination of registration of the Company as an Investment Manager in terms of the Retirement Pensions Act, Cap. 514. The MFSA has accepted the Company’s request. The terminati ...
JULY 27, 2023
Surrender of Licence by Wood & Company Funds SICAV p.l.c.
This notice is to make the general public aware that Wood & Company Funds SICAV p.l.c. (the “Scheme”) requested the Malta Financial Services Authority (the “MFSA”) to accept the surrender of the collective investment scheme licence granted to the Scheme in relation to its sub-funds – W ...
JULY 06, 2023
Regulatory Action against Collective Investment Scheme – Ref: 2023-34
The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of four thousand two hundred and fifty Euro (€4,250) on the PIF. BREACHES The MFSA determined that the PIF has acted in breach of SLC 1.62 of Part BII of the Rules for PIFs (targeti ...
JULY 06, 2023
Regulatory Action against Collective Investment Scheme – Ref: 2023-33
The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of four thousand two hundred and fifty Euro (€4,250) on the PIF. BREACHES The MFSA determined that the PIF has acted in breach of SLC 1.62 of Part BII of the Rules for PIFs (targeti ...
JULY 06, 2023
Regulatory Action against Collective Investment Scheme – Ref: 2023-32
The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of three thousand five hundred Euro (€3,500) on the PIF. BREACHES The MFSA determined that the PIF has acted in breach of SLC 1.62 of Part BII of the Rules for PIFs (targeting quali ...
JULY 06, 2023
Regulatory Action against Collective Investment Scheme – Ref: 2023-31
The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of three thousand seven hundred and fifty Euro (€3,750) on the PIF. BREACHES The MFSA determined that the PIF has acted in breach of SLC 1.62 of Part BII of the Rules for PIFs (targ ...
JULY 06, 2023
Regulatory Action against Collective Investment Scheme – Ref: 2023-30
The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of four thousand and two hundred and fifty Euro (€4,250) on the PIF. BREACHES The MFSA determined that the PIF has acted in breach of SLC 1.64 of Part BII of the Rules for PIFs (tar ...
JULY 06, 2023
Regulatory Action against Collective Investment Scheme – Ref: 2023-29
The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of two thousand five hundred Euro (€2,500) on the PIF. BREACHES The MFSA determined that the PIF has acted in breach of SLC 1.62 of Part BII of the Rules for PIFs (targeting qualify ...
JULY 06, 2023
Regulatory Action against Collective Investment Scheme – Ref: 2023-28
The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of four thousand two hundred and fifty Euro (€4,250) on the PIF. BREACHES The MFSA determined that the PIF has acted in breach of SLC 1.62 of Part BII of the Rules for PIFs (targeti ...
JULY 06, 2023
Regulatory Action against Collective Investment Scheme – Ref: 2023-27
The Malta Financial Services Authority (“MFSA”) decided to proceed with imposing an administrative penalty of four thousand two hundred and fifty Euro (€4,250) on the PIF. BREACHES The MFSA determined that the PIF has acted in breach of SLC 1.64 of Part BIII of the Rules for PIFs (target ...