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Investment services

The Investment Services Act, 1994 (the ‘ISA’) establishes the regulatory framework of funds and the provision of investment services. The ISA vests the responsibility for the licensing, regulation of funds and investment services in the Malta Financial Services Authority (the ‘MFSA’).  As a general rule the ISA requires that both funds and investment services providers are licenced in order to operate in or from Malta. Special rules issued under the authority of the ISA regulate UCITS, professional investor funds, retirement funds, private funds and fund managers and fund administrators.

Our financial services team is composed of professionals with a sound knowledge and understanding of local and European fund and investment services legislation. Our practice covers a wide range of services in relation to UCITS, professional investor funds, retirement funds, private fund, fund managers and fund administrators including:

  • Assistance with compilation and submission of licence application, recognition application and related documentation.
  • Assistance in the preparation and/or review of prospectus, offering memoranda, investment advisory agreements, fund management agreements, custody agreements and administration agreements.
  • Laising with regulator;
  • Fund re-domiciliation services;
  • Providing company secretary, compliance officers, money laundering reporting officers and directorship services,
  • Fiduciary services and back and middle office services for funds including registered office services.
  • Ongoing corporate and regulatory compliance services.

DF advocates is a tightly woven network of highly skilled lawyers and staff professionals who continue to help Exante grow our business through proactive representation. The Lawyers and their teams have taken time to understand our business and our culture so they can help us efficiently and effectively achieve our goals. Because of their experience, they arrive at solutions quickly. We value our partnership with DF.

Patrick J O Brien
Director of Communications
Exante

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