Legislation
Investment Services Act (Cap. 370)
- Art. 2(1) In this Act, unless the c ontext otherwise requires - "agricultural commodity derivatives" means derivativ
- Art. 2A(1) The competent authority shall carry out its functions under this Act and, in particular, shall ensure comp
- Art. 3(1) No person shall provide, or hold himself out as providing, an investment service in or from within Malta u
- Art. 4(1) Subject to the provisions of sub-article (3), no collective investment scheme shall issue or create any un
- Art. 5An application for a licence sh all be made in the form and manner required by the competent authority and sha
- Art. 6(1) The competent authority may grant or refuse to grant a licence applied for under this Act: Provided that t
- Art. 7(1) The competent authority may at any time cancel or suspend a licence in accordance wi th the provision s of
- Art. 8(1) Where the competent authority proposes - (a) to vary any condition to which the licence is subject or to i
- Art. 8A(1) The competent authority may decide to apply the requirements of the CRR pursuant to point (c) of the first
- Art. 9(1) The holder of an investment services licence, an investment holding company or mixed financial holding com
- Art. 9A(1) Any person who in Malta or from Malta provides to licence holders in Malta, or to equivalent authorised pe
- Art. 10(1) Notwithstanding anything contained in an any other law, any person or persons actin g in concert (her eina
- Art. 10A(1) The competent authority shall, promptly and in any event within two wor king days follo wing receipt of th
- Art. 10B(1) The competent authority shall work in full consultation with the European regulatory authorities or overse
- Art. 10C(1) Notwithstanding anything contained in any other law, and without prejudice to article 10(1) and (2), the c
- Art. 10CA(1) Parent financial holding companies, parent mixed financial holding companies, EU parent financial holding
- Art. 10D(1) An investment firm established in Malta which is part of a third-country group having as part of the same
- Art. 12(1) The Minister, acting on the advice of the competent authority, may make regulations to give effect to the
- Art. 13(1) Without prejudice to any powers of the competent authority arising under any other law, the competent auth
- Art. 14(1) The competent authority may, whenever it deems it necessary or expedient, appoint a n inspector or inspect
- Art. 15(1) Without prejudice to any of the powers conferred on it by articles 13 and 14, the competent authority may,
- Art. 15A(1) Without prejudice to the powers conferred to the competent authority under this Act, the competent authori
- Art. 16(1) Any officer, employee or agent of the competent authority, on producing, if required, evidence of his auth
- Art. 16A(1) Without prejudice to any other powers assigned to the competent authority in terms o f this Act, where a l
- Art. 16AA(1) Without prejudice to any other power of the competent authority under this Act or any other law, where the
- Art. 16BAny decision taken under this Act by the competent authority in terms of any provisions which transpose the AI
- Art. 17(1) The competent authority shall act as the contact point in terms of and for the purposes of Article 79(1) o
- Art. 17A(1) The competent authority may request the cooperation of a European regulatory author ity in carrying out it
- Art. 17BThe competent authority may refuse to act on a request for cooperation in carrying out an investigation, onsit
- Art. 17C(1) Prior to grantin g a licence to an a pplicant which is - (a) a subsidiary of a person holding an investmen
- Art. 17DThe competent authority may refer to ESMA, situations where a request relating to one of the following has bee
- Art. 17E(1) The competent authority shall cooperate with ESMA for the purposes of the AIFM Directive , the MIFID , the
- Art. 17F(1) Co-operation agreements with overseas regulatory authorities or other authorities, bodies and natural or l
- Art. 18(1) An auditor of the holder of a licence shall have the duty to report immediately to the competent authority
- Art. 19(1) In this article the Finan cial Services Tribunal means the Tribunal established under article 21 of the Ma
- Art. 20An investment agreement wh ich is entered into - (a) by a person in the course of providing an investment serv
- Art. 21(1) If, on an application by th e competent authority made to the Civil Court, Fir st Hall, the said co urt is
- Art. 22(1) Any person who contravenes or fails to comply with any of the provisions of articles 3, 4, 9, 10, 11, 13,
- Art. 23A person guilty of an offence under the provisions of article 22 shall be liable on conviction to a fine ( mul
- Art. 24(1) No proceedings for an offence under this Act shall be commenced without the consent of the Attorney Genera
- Art. 25(1) If it appears to the competent authority that a person who holds or who held a licence, or any other perso
- Art. 26(1) Other than for the proper discharge of their duties or functions under this Act or any other Act, or as ma
- Art. 28A notice or other document to be given or served under this Act, or any regulations, Investment Services Rules
- Art. 29(Deleted by: XX. 2007.81. ). Social security and import duty exemptions in respect of licence holders and expa
- Art. 30(1) Expatriate officers and employees of any licence holder and the licence holder sha ll be exempt from the p
- Art. 31(1) A body corporate, formed, incorporated or registered in a country outside Malta (hereinafter referred to a
- Art. 32Investment holding companies and mixed financial holding companies shall be included in t he supervision of co
- Art. 33(1) Where two or more European investment firms that are subsidiaries of the same p arent undertaking, the hea
- Art. 34Where the parent undertaking of an investment firm licensed under this Act is a mixed-activity holding company
Text read from the consolidated PDF published by Legislation Malta. Tables, figures and marginal notes may be incomplete or out of place: the official PDF is authoritative. General information, not legal, tax or accounting advice.