Investment Services Circulars

APRIL 24, 2018
Circular to the Industry on the Survey by UK’s Financial Conduct Authority (“FCA”) for EEA firms Passporting into the UK
FEBRUARY 19, 2018
Circular to the Financial Services Industry on changes to Part A of the Investment Services Rules for Investment Services Providers
DECEMBER 29, 2017
Circular on the revised Part BII, Part BIII and Part BIV of the Investment Services Rules for Investment Services Providers
DECEMBER 18, 2017
Circular on the issue of the revised Part BI of the Investment Services Rules for Investment Services Providers
SEPTEMBER 18, 2017
Circular – Critical Supervision and resulting Administrative Measures
JULY 14, 2017
Circular addressed to MiFID Firms on Supplementary Data Collection to Support the New Prudential Framework for Investment Firms
FEBRUARY 08, 2017
Circular to the Financial Services Industry on changes to the Standard Licence Conditions applicable to Category 4 Investment Services Licence Holders
JANUARY 26, 2017
Circular to the Market – Assessment Required Prior To Proposing Individuals for Approved Positions
JANUARY 09, 2017
Circular on Own Funds Requirements for Investment Firms and Fund Managers Based on Fixed Overheads under Article 97(4) of Regulation (EU) No 575/2013
NOVEMBER 11, 2016
Thematic Review on Compliance with the Remuneration provisions in terms of the AIFM Directive