Compliance Alerts


Investment Services
Jun 30, 2018

Recognised Incorporated Cell Companies

If you are the Compliance Officer of a Recognised Incorporated Cell with accounting period ending on the 31st December, the Annual Audited Financial Statements are...

Read More
Investment Services
Jun 30, 2018

AIFs

If you are the Compliance Officer of an Alternative Investment Fund with accounting period ending on the 31st December, the Annual Audited Financial Statements and...

Read More
Investment Services
Jun 30, 2018

PIFs

If you are the Compliance Officer of a Professional Investor Fund with accounting period ending on the 31st December, the annual audited financial statements and...

Read More
Investment Services
Jun 30, 2018

Category 4 Investment Services Licence Holders

If you are a Category 4 Investment Services Licence Holder, the Response to Auditors’ Management Letter is due to the MFSA by 30th June. For...

Read More
Investment Services
Jun 30, 2018

Category 2 De Minimis Investment Services Licence Holders

If you are a Category 2 De Minimis Investment Services Licence Holder, the Response to Auditor’s Management Letter is due to the MFSA by 30th...

Read More
Investment Services
Jun 30, 2018

Category 2 & 3 MiFID Licence Holders

If you are a Category 2 or 3 (MiFID) Investment Services Licence Holder, the Response to Auditors’ Management Letter is due to the MFSA by...

Read More
Investment Services
Jun 30, 2018

Category 1 MiFID Licence Holders

If you are a Category 1 (MiFID) Investment Services Licence Holder Response to Auditors’ Management Letter is due to the MFSA by 30th June. For...

Read More
Investment Services
Jun 30, 2018

Category 2 AIFMs

If you are a Category 2 AIFMD Investment Services Licence Holder, these deliverables are due to the MFSA by 30th June. For any assistance with...

Read More
Investment Services
Jun 30, 2018

Category 2 UCITS Fund Managers

If you are a Category 2 UCITS Investment Services Licence Holder, the Response to Auditor’s Management Letter is due to the MFSA by 30th June....

Read More