Regulatory Alerts2021-09-30
Added · Updated
MiFID Firms Quarterly Reporting
All Investment Firms providing MiFID services to retail, professional, and/or eligible counterparties are required to submit the MiFID Firms Quarterly Reporting as from Q3 2021, replacing the Conduct-Related Data Return and Appendix 2C submissions. The reporting comprises Part A for Conduct Data on a quarterly basis, Part B for Prudential Data on a cumulative basis, and Part C for Exposure to Maltese Banks, with submissions due within 42 days after the end of the applicable reporting period through the LH Portal. Part A includes surveys on passporting transactions, complex products, and online presence, Part C requires identification of the top five banks for client assets and counterparties, and a yearly Confirmations tab must be signed by two Directors and submitted with audited financial statements.
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