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Reminder on the Interim Measures for the Processing of Incoming Physical Documentation

Further to the circulars issued by the MFSA on 24 March 2020 and 16 December 2020, on 27 September 2021, the Authority issued another circular requiring licence holders to ensure that any physical documentation submitted only in electronic form (pursuant to the above-mentioned articles), now require to be submitted in original form by no later than 30 November 2021. Failure to submit the required documentation by the stipulated deadline may lead to regulatory action.

For further information, reference should be made to the circular available on the MFSA’s website:

https://www.mfsa.mt/publication/reminder-on-the-interim-measures-for-the-processing-of-incoming-physical-documentation/

 

Circular to Investment Services Licence Holders regarding the submission of the CBM Reporting Schedules

On 28 September 2021, the MFSA issued a circular notifying all Investment Service Providers (“ISPs) on the required submission of the ISP return. Licence holders were requested to complete the ‘Contact Details Form’ attached to the circular.  The contact details relate to the Company’s individual who will be responsible for submitting the relevant ISP returns. The form was to be submitted to the Authority by 8 October 2021.

Officials entrusted with the submission of the ISP return are required to submit such return to the MFSA through the LH Portal and the CBM through INFOSTAT for the period ended 30 September 2021. The ISP return should be submitted in XML format.

For further information, reference should be made to the circular available on the MFSA’s website:

https://www.mfsa.mt/publication/circular-to-investment-services-licence-holders-regarding-the-submission-of-the-central-bank-of-malta-cbm-reporting-schedules/

 

MiFID Firms Quarterly Reporting

Further to the 3rd and 5th Briefing on the IFRD, on 30 September 2021, the MFSA issued a circular relating to the MiFID Firms Quarterly Report which will replace the Conduct-Related Data Return.

The MiFID Firms Quarterly reporting will include 3 sections; Part A related to Conduct Data, Party B related to Prudential Data, and Part C related to Exposure to Maltese Banks. The MiFID Firms Quarterly Reporting will become applicable as of the period ended 30 September 2021 and is to be submitted within 42 days after the end of such period, through the ‘Investment Firms reporting’ project on the LH Portal, using the naming convention: CODE_JAN2019_MFREP.zip.

For further information, reference should be made to the circular available on the MFSA’s website:

https://www.mfsa.mt/publication/mifid-firms-quarterly-reporting/

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