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Investment Services
Rules for Investment Services Providers & related Guidance Notes
Rules for Investment Services Providers & related Guidance Notes
Introduction to the Investment Services Rules for Investment Services Providers
Part A - The Application Process
Part B - Standard Licence Conditions
Part C - Rules for Persons Exercising European Passport Rights in Malta
Glossary
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Introduction to the Investment Services Rules for Investment Services Providers
Introduction
Table of Contents
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Part A - The Application Process
Part A - The Application Process
Schedule A - Application Form for an Investment Services Licence
(Compatible with Microsoft Office 2010)
Schedule B - Application Form for Registration of Tied Agents
Schedule C - Financial Resources Statement
Schedule DI - Notification Letter for Investment Services Licence Holders wishing to provide cross-border services under the freedom to provide services in another EU or EEA Member State
Schedule DII - Notification Letter for UCITS Management Companies wishing to provide cross-border services under the freedom to provide services in another EU or EEA Member State
Schedule EI - Notification Letter for Investment Services Licence Holders wishing to provide cross-border services via the establishment of a branch in another EU or EEA Member State
Schedule EII: Notification Letter for UCITS Management Companies wishing to provide cross-border services via the establishment of a branch in another EU or EEA Member State
Schedule F - Personal Questionnaire
Schedule G - Questionnaire for qualifying shareholders other than individuals
Schedule H - List of Information Required for the Assessment of an Acquisition
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Part B - Standard Licence Conditions
Part BI - Standard Licence Conditions applicable to Investment Services Licence Holders (Excluding UCITS Management Companies)
Part BII - Standard Licence Conditions applicable to UCITS Management Companies
Appendix 1 - Financial Resources Requirements and Guidance on the Compilation of the Financial Return
Annex I A – Credit Risk Mitigation
Annex I B – The Treatment of Counterparty Credit Risk
Annex II – Specimen Qualifying Undertaking
Annex III – Specimen Bank Guarantee
Annex IV – Specimen Subordinated Loan Agreement
Annex V - Securitisation
Annex VI – Credit Risk: Internal Ratings Based (IRB) Approach
Annex VII - Position Risk on Credit Derivatives
Annex VIII – Operational Risk
Annex IX - Use of Internal Models to calculate Capital Requirements
Appendix 2A - Financial Return
Appendix 2B - Financial Return for Fund Managers
Appendix 3A - Consolidated Financial Resources Requirement and Guidance on the compilation of the Financial Return for Consolidations
Appendix 3B - Financial Return For Consolidations
Appendix 4 - Technical Criteria on the Disclosure Requirements for Investment Services Licence Holders
Appendix 5 - Penalties
Appendix 6 - Insurance Covers
Appendix 7 - Record Keeping
Appendix 8 - Transaction Reporting
Appendix 9 - Definition of Close Links
Appendix 10 – Guidance Notes on Risk Management and Internal Capital Adequacy Assessment for Investment Services Licence Holders
Appendix 11 - Supplementary Licence Conditions on Risk Management, Counterparty Risk Exposure and Issuer Concentration
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Part C - Rules for Persons Exercising European Passport Rights in Malta
Part C I - Rules for Maltese Branches of European Investment Firms
Part C II- Rules for European Management Companies providing services in Malta
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Glossary
Glossary to the Investment Services Rules for Investment Services Providers
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Guidance
Guidance Notes to the Investment Services Rules for Investment Services Providers
Guidance notes on the computation of the Annual Supervisory Fees for investment services licence holders
Annex I to the Guidance notes on the computation of the Annual Supervisory Fees for investment services licence holders
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