Submission of the Conduct-Related Data Return: Change in Naming Convention

Circular Triq l-Imdina, Zone 1 Central Business District, Birkirkara CBD 1010 +356 2144 1155 communications@mfsa.mt www.mfsa.mt Submission of the Conduct-Related Data Return: Change in Naming Convention The purpose of this Circular is to inform Investment Services Licence Holder regarding recent changes carried out to the LH Portal, specifically the change in the naming convention to be used when uploading documents via the LH Portal. Investment Services Licence Holders are required to submit the Conduct-Related Data Return and the List of Financial Instruments on a bi-annual basis. Going forward, such documents are to be uploaded via the LH Portal, using the naming convention indicated in the table below. Document Name New Naming Convention Conduct Related Data Return LICENCEHOLDERCODE_MMMYYYY_Investments List of Financial Instruments LICENCEHOLDERCODE_MMMYYYY_FIList Table 1: Naming Convention where: LICENCEHOLDERCODE: letter identification-code assigned to the Investment Services Licence Holder. This refers ; MMM: the first 3 digits of the respective referenced month. For example, for June, the MMM is JUN; YYYY is the full 4-digits number of the respective referenced year. Kindly note that Category 2 and 3 Investment Services Licence Holders shall refer to the Circular and the Guidelines on Regulatory Reporting Requirements and the Submission of Financial documentation through the LH Portal on the submission of the COREP. May we remind you that investment services licence holders are required to submit the Return covering Q3 of 2019 by not later than 11th November 2019. Contacts Should you have any queries regarding the above, please do not hesitate to contact us via financialpromotion@mfsa.com.mt. 31 October 2019