Financial Markets

  Introduction

  Table of Contents Financial Market Rules for Regulated Markets

  Financial Market Rules for Regulated Markets

  Schedule A – Certificate of Compliance

  Schedule B -Financial Instrument Data

  Schedule C – Financial Instrument Reference Data

  Schedule D- Market Transparency Information

  Schedule E – Personal Questionnaire

Financial Market Rules Applicable From 3 January 2018

  Financial Market Rules

  Schedule 3 – Market Transparency Information

Financial Market Rules Stipulating Financial Resources And Financial Reporting Requirements Applicable To Regulated Markets And Central Securities Depositaries

  Introduction

  Table of Contents

  Financial Market Rules stipulating Financial Resources and Financial Reporting Requirements applicable to Regulated Markets and Central Securities Depositories

  Appendix I – Automated Financial Return for operators of a Regulated Market and operators of Central Securities Depositories

  Appendix II – Declaration to the MFSA by the Auditing Firm, prior to accepting appointment as auditor of an operator of a Regulated Market and/ or operator of Central Securities Depository

  Appendix III – Specimen Subordinated Loan Agreement

  Appendix IV – Specimen Qualifying Undertaking

  Appendix V – Specimen Bank Guarantee

Central Securities Depositories (CSD) Regulation

  Consultation Paper on the draft technical standards on settlement discipline, CSD requirements, and internalised settlement

  Consultation Paper on the draft technical advice on penalties for settlement fails and on the substantial importance of a CSD

  Consultation Paper on the draft guidelines on the access to CCPs or trading venues by CSDs

  Regulation (EU) No 909/2014

  CSDR – FAQs

A copy of the presentations given out during the Finance Malta Educational clinic on EMIR and CSDR 16th December 2015 are available here.

Guidance

  Guidance Notes on Risk Management and Internal Capital Adequacy Assessment for Regulated Markets and Central Securities Depositories

  ESMA Guidelines on Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities

Short Selling Regulation

  Guidance Notes

  Notification Form for Net Short Positions – In terms of the Commission Delegated Regulation No. 826/2012

  Cancellation Form for Net Short Positions – In terms of the Commission Delegated Regulation No. 826/2012

  Legal Notice – Financial Markets Act (Short Selling) Regulations, 2012, L.N. 344 of 2012

EU Regulations:

 

  Public Notifications