Investment Services

Investment Services

Investment Services in Malta are regulated by the Investment Services Act (Chap. 370 of the Laws of Malta). This law establishes the regulatory framework for two broad types of licences namely Malta investment Services Licences, which apply to providers of investment services and Collective Investment Schemes Licences which apply to investment funds, including UCITSPIFsAIFs and Private CISs. The Malta Financial Services Authority (“MFSA”) is the single regulator responsible for the licensing, regulation and supervision of Investment Services Providers, Collective Investment Schemes and Regulated Markets.

Any person or entity providing or hold himself out as providing, an investment service in Malta or from Malta must possess a valid investment services licence issued by the MFSA or, alternatively, have a validly endorsed or “passported” license from another EU Member State.

Licence Categories

The four broad categories of Maltese Investment services licences are available here..

GVZH Advocates also cover the following Investment Services Activity Areas

Asset management operations | AIFM compliant management companies | UCITS managers | Introducing brokers | Cross-border provision of service | Establishment of branches | Private placement of securities | Securitisation vehicles | Compliance with the EU Prospectus Directive | Listing of securities on the Malta Stock Exchange (Primary or Secondary)

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