The Malta Financial Services Authority (“MFSA” or the “Authority”) has been looking into certain matters related to an Investment Services Firm in relation to late submission of regulatory information to the Authority. The Authority has considered the goodwill demonstrated by the Company and agreed to settle all pending matters.

Business Activity: Investment Service Firm

FINDINGS:

The MFSA’s investigation found failings in respect of R1-2.2.1 and R3-2.8.2 of the Investment Services Rules for Investment Services Providers B1: Rules Applicable to Investment Services Licence Holders Which Qualify as MiFID Firms.

MEASURES

On 01 August 2025, the MFSA agreed to settle pending matters with the Investment Services Firm after demonstration of goodwill by the Investment Services Firm. By means of a settlement agreement entered into between the Investment Services Firm and the MFSA, the latter imposed the following measures: a penalty of four thousand, one hundred twenty-seven Euro (€4,127).

PUBLICATION

This notice is being published in terms of the Authority’s Settlement Policy.