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Subsidiary Legislation


In this section you will find the legislation which is subsidiary to the Main Legislation and which lays down further requirements relating to the supervision of investment firms. Subsidiary Legislation is in the form of Legal Notices issued by the Minister responsible for the regulation of financial services in terms of a specific empowering clause contained in the Main Legislation to which they relate.

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. 370.13 – European Passport Rights for Persons Operating Multilateral Trading Facilities Regulations

S.L. 370.42 – Investments Services Act (Tied Agents) Regulations

S.L. 370.43 – Investment Services Act (Provision of Investment and activities by Third Country Firms) Regulations

S.L. 371.19 – Investment Services Act and Banking Act (MiFID and MiFIR Administrative Penalties, Measures and Investigatory Powers) Regulations

L.N. 403 of 2017 – Investment Services Act (Tied Agents) Regulations, 2017

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