Regulatory Information

GuildAM Ltd (the “Company”) is a limited liability company registered in Malta on 12 November 2024 (Company Registration Number C110046). The Company’s registered office is 171, Old Bakery Street, Valletta, Malta.

The Company obtained its licence on 14 March 2025 and is licensed by the Malta Financial Services Authority in terms of the Investment Services Act (Chapter 370 of the Laws of Malta) to provide the following investment services:

  • Management of PIFs;
  • Execution of orders on behalf of other person;
  • Individual Portfolio Management;
  • Investment Advice;
  • Placing of instruments without a firm commitment basis;
  • Reception and Transmission of Orders;
  • Nominee:       
    • For Retail Clients; and
    • Professional Clients (excluding collective investment schemes)

 

The above investment services may be provided in relation to the following financial instruments:

  1. Transferrable Securities; 
  2. Money Market Instruments;
  3. Units in Collective Investment Schemes;
  4. Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivative instruments, financial indices or financial measures which may be settled physically or in cash; 
  5. Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event;
  6. Options, futures, swaps, and any other derivative contracts relating to commodities, that can be physically settled provided that they are traded on a regulated market, within the meaning of the Financial Markets Act a Multilateral Trading Facility, or an Organised Trading Facility, except for wholesale energy products traded on an Organised Trading Facility that must be physically settled;
  7. Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled are not for commercial purposes, are not included in article 6 of this Schedule, and, which have the characteristics of other derivative instruments;
  8. Derivative instruments for the transfer of credit risk; 
  9. Rights under a contract for differences or under any other contract the purpose or intended purpose of which is to secure a profit or avoid a loss by reference to fluctuations in the value or price for property of any description or in an index or other fact or designated for that purpose in the contract;
  10. Options,  futures,  swaps,  forward  rate  agreements  and  any other derivative contracts relating to climatic variables, freight rates or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Schedule, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF;
  11. Certificates or other instruments which confer property rights in respect of any instrument falling within this Schedule;
  12. Foreign exchange acquired or held for investment purposes; and
  13. Emission allowances consisting of any units recognised for compliance with the requirements of Directive 2003/87/EC (Emissions Trading Scheme).

 

The Company is also authorised to provide the following Ancillary Services:

  • Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments; and
    • In relation to Professional clients (including Collective Investment Schemes) and Retail Clients)
         
  • Safekeeping and administration of financial instruments for the accounts of clients
    • In relation to Professional clients (excluding Collective Investment Schemes) and Retail Clients.

 

GuildAM Ltd has notified the exercise of Freedom of Services rights in the following EEA jurisdictions:
Belgium, Cyprus, Czech Republic, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg, Netherlands, Norway, Poland, Portugal, Spain and Sweden.