Aggregated News From Investment Management Regulators

The MFSA publishes Document Outlining its Risk-Based Approach to Supervision – MFSA


Please complete the required fields.

As part of its continuing commitment to improve accountability and transparency, the Malta Financial Services Authority (MFSA) today published a document articulating its approach to risk-based supervision.

“This document serves to explain our risk-based approach to supervision, whilst clarifying how safeguards against financial crime risks have been integrated in the process,” commented the MFSA’s Chief Officer – Supervision, Christopher Buttigieg.

A risk-based approach enables the MFSA to better allocate its resources, supervisory programmes and procedures based on the unique risk profile of each firm. “To increase our supervisory effectiveness, we adopt a risk-based approach to supervision which considers prudential, conduct and financial crime risks associated with the firms we oversee,” concluded Dr Buttigieg.

Whilst the aim of this document is to provide an insight into the risk-based approach to supervision adopted by the MFSA, the principles of risk management and mitigation are not limited to supervision but are applied by the MFSA in the exercise of its other core functions, such as authorisation, operations and enforcement.

Regulator Information

Abbreviation: MFSA
Jurisdiction: Malta

Recent Articles

Elliott Investment, website operator of suspected violation of the prospectus requirement

Offering securities to the public without an approved prospectus constitutes a violation of the prospectus requirement under Article 3(1) of the EU Prospectus Regulation – unless an exemption applies

Grand-ducal Regulation of 27 July 2022

Grand-ducal Regulation of 27 July 2022, amending Grand-ducal Regulation of 30 May 2018 on the protection of financial instruments and funds belonging to clients,...

MFSA Warning – 86FXTRADE & P240 Ltd – Unlicensed Exchange

The Malta Financial Services Authority (“MFSA”) has become aware of an entity operating under the names of 86FXTRADE and/or P240 Ltd (“the Entity”) which has an internet presence at https://www.

Get the latest from Regulatory.News in your inbox!