Investment Services Circulars

APRIL 13, 2016
Circular addressed to Investment Firms and/or Applicants for an Investment Services Licence Offering or Intending to Offer Financial Contracts for Difference (CFDs) and other Speculative Products
FEBRUARY 01, 2016
Consultation Document – Draft Guidelines on the Market Abuse Regulation
JANUARY 08, 2016
Circular addressed to Investment Services Licence Holders – Documentation Timetable
JANUARY 05, 2016
Circular addressed to Investment Services Licence Holders conducting Licensable activities in Foreign Jurisdictions
DECEMBER 28, 2015
Circular addressed to Investment Services Licence Holders
DECEMBER 22, 2015
Thematic Review on compliance with Governance, Compliance and Risk Management
DECEMBER 16, 2015
Consultation Document – Call for Evidence – EU Regulatory Framework for Financial Services
NOVEMBER 18, 2015
Circular to MiFID Firms which are Required to Submit either the Appendix 2A – Financial Return for Category 1 & Category 4b and the Appendix 2C – Automated COREP Return as Part of their Regulatory Reporting Requirements
NOVEMBER 17, 2015
Circular addressed to the Category 1, 2 and 3 Investment Services Licence Holders on the MFSA’s position regarding Government Securities
NOVEMBER 04, 2015
Circular to Investment Services Licence Holders on the Assessment of Appropriateness and Suitability of Investment Products or Instruments as Required by the Investment Services Rules