Search
Searching Content indexed under Compliance by GVZH Advocates ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
Challenges, Success And Succession Of Family Businesses In Malta
Family businesses unquestionably form the backbone of the Maltese economy.
Malta
9 Sep 2018
2
MFSA Conducts A Thematic Review On Governance, Compliance And Risk Management With Respect To Investment Services Licence Holders
Compliance reports should be presented to senior management, at least annually and prepared in accordance with the ESMA Guidelines.
Malta
4 Jan 2016
3
Compliance Alert | Recovery Plan Document
If you are a Credit Institution or a Category 3 (MiFID) Investment Services Licence Holder, the Recovery Plan Document is due to the MFSA by 31st December, 2015.
Malta
22 Dec 2015
4
MFSA Conduct A Thematic Review On Governance, Compliance And Risk Management
With the intent to verify the extent to which entities licensed in Malta have proper governance, compliance and risk management procedures in place and whether these are actually being complied with...
Malta
26 Oct 2015
5
Compliance Alert | Interim COREP Return
If you are a Category 2/3 (MiFID) Investment Services Licence Holder, the Interim COREP Return for the 3rd Quarter, is due to the MFSA by 11th November, 2015.
Malta
14 Oct 2015
6
Compliance Alert | Interim Financial Return
If you are a Category 2 (UCITS / AIFM) Investment Services Licence Holder, the Interim Financial Return for the 3rd Quarter, is due to the MFSA by 31st October, 2015.
Malta
13 Oct 2015
7
Compliance Alert | MFSA Interim Financial Return
If you are a Category 1 (MiFID) or Category 2 (UCITS / AIFM) Investment Services Licence Holder, the Interim Financial Return for the 2nd Quarter is due to the MFSA by 31st July 2015.
Malta
30 Jul 2015
8
Compliance Alert | MFSA Interim COREP Return
If you are a Category 2/3 (MiFID) Investment Services Licence Holder, the Interim COREP Return for the 2nd Quarter is due to the MFSA by 11th August 2015.
Malta
30 Jul 2015
9
Attn. Compliance Officer | MFSA Response To Auditor's Management Letter Compliance Alert
Licence Holders in receipt of a Management Letter from their Auditor, which contains recommendations to remedy any weaknesses identified during the course of the audit, are required to submit to the MFSA by not later than 30th June...
Malta
24 Jun 2015
10
European Parliament Approves Final Text Of 4th AML Directive – Member States Now Have Two Years To Implement Into National Law
On the 20th of May 2015, the European Parliament approved the final text of the 4th AML Directive intended to address the threat of money laundering in 2015 and beyond.
European Union
1 Jun 2015
11
Attention: Company Service Providers
In terms of the the MFSA Rules for Company Service Providers, CSPs are required to submit a Certificate of Compliance and an Annual Financial Return.
Malta
21 May 2015
12
MFSA Carries Out A Thematic Review On Compliance With The Requirements On Governance, Compliance And Risk Management
The MFSA recently published a circular addressed to the compliance officers of investment services license holders with consolidated feedback from the Securities and Markets Supervision Unit.
Malta
14 Oct 2014
13
EMIs - A Shift To A Lighter Regulatory Regime
Recent amendments to the Financial Institutions Act (Chapter 376 of the Laws of Malta) (the "Act") have effectively brought the regulation of EMIs in Malta, previously regulated under the Banking Act (Chapter 371 of the Laws of Malta), within the remit of the same Financial Institutions Act.
Malta
 
30 Jun 2011
Links to Result pages
 
1