Regulatory Alerts2019-08-20
Added · Updated
Conduct of Business Rulebook Revisions
The Malta Financial Services Authority amended the Conduct of Business Rulebook to implement ESMA restrictions on marketing, distributing, or selling Contracts for Differences (CFDs) to retail investors, effective 11 August 2019. New Rules 1.2.68 to 1.2.77 in Chapter 1 and Rules 4.1.42 to 4.1.45 in Chapter 4 impose requirements on investment firms, including restrictions on sales, slippage parameters, expert advisor use, and record keeping. The revisions also updated definitions in the Glossary and aligned insurance sector rules with the Solvency II Directive by adding and amending specific provisions in Chapter 1.
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