Notification Form

Notes to applicants

This notification form is to be filed where, inter alia:

  1. there is an ultimate beneficial owner, whether existing or new, as defined in the Act;
  2. the activity is one as described in the Schedule to the Act;
  3. there is a foreign direct investment as defined in the Act.

Please see Guidelines on website for further information on the compilation of this form.

Where the conditions specified in (a) to (c) above subsist cumulatively, foreign investors and all persons involved in the foreign direct investment are obliged, PRIOR to carrying out the investment, to notify the Office in terms of Article 11 (1) of the NFDIS Act.

Applicants will be notified in writing, via email, on the outcome of their notification process.

Any additional information, annexes or documents relative to the investment, can be sent on applications@nfdismalta.com. Please make sure to include details of the company/ investor and the application number (i.e. MT0000) in the email.


Request for information from the investor


The entrepreneur to whom or the undertaking to which the capital is made available in order to carry on an economic activity in Malta

Information regarding the Investment

Please explain how the change in ownership or control of the target company is executed and how the new assets will fit into the company structure of the investor

If the investment subject to this notification is part of a broader transaction, please disclose the total value and the investment provided to the undertaking(s) the territory of the Member State undertaking the screening separately.

Either as a specific date/period or in function of the completion of ongoing authorisation processes

If the investment subject to this notification is part of a broader transaction, please specify the funding of the investment into the companies established in the territory of the Member State undertaking the screening, as well as sources of funding for the transaction as a whole.
Please explain why the investor is interested in making the investment and the circumstances of the investment by the target



Before

As a result of the transaction



Link(s) to the source

Information concerning (A) the undertaking in which the investment is planned or has been completed (“target undertaking”) or (B) a greenfield investment

Guidelines

Please complete the table below with information about the beneficiarie(s) of the investment established in Malta and undertaking the screening procedure and, if applicable, the ultimate controlling entity (most relevant entity within the ownership structure).

In case the beneficiary is part of a larger corporate group not headquartered in Malta, please provide the information for the other legal entities of the same corporate group situated in other EU Member States, if available, in the column on the right side.

If the ownership structure of the target is complex, please provide details on the direct beneficiary, its ultimate owner and any significant intermediate entities to the extent available.

If available, please provide an organigram to explain the horizontal and vertical relationship between the companies referred and the overall structure of the company group before and after the transaction.

International greenfield investment typically involves the creation of a new company or establishment or facilities abroad, whereas an international merger or acquisition amounts to transferring the ownership of existing assets to an owner abroad.

Information regarding the Investor

Guidelines

Please complete the table below with information about the direct investor and, if applicable, the ultimate controlling entity (most relevant entity within the ownership structure). If the ownership structure is complex, please provide details on the direct acquirer, and where available, the ultimate owner and any significant intermediate entities. If available, please provide an organigram to explain the horizontal and vertical relationship between the companies referred.

In case the investment is made by multiple investors, please provide the information above for each investor separately by multiplying the table hereunder. If available, please provide an organigram to explain the horizontal and vertical relationship between the companies referred.

In case the investor is part of a larger corporate group, please provide the information on “annual turnover of the investor” and “total number of employees” for the entire corporate group as well, if available.




If the entity is a natural person, please indicate the nationality/ies of this natural person.



Please provide a brief description of the activities being carried out and include the relevant NACE sub-category to the greatest possible granularity (4-digits).

If available, please explain if the investment is likely to result in a significant change in the profile or main activities of the investor.


EU Member States in which the company conducts substantive business operations (e.g. through subsidiaries or branches and please provide the name(s) of those undertaking(s)


Please indicate if fiscal year does not correspond to calendar year.

Is the company subject to EU financial restrictive measures (sanctions)?

The consolidated list of persons, groups and entities subject to EU financial sanctions can be downloaded from Financial Sanctions Database - FSF platform accessible via the following address: https://webgate.ec.europa.eu/europeaid/fsd/fsf. In order to access this platform you need to have an "EU Login" account. For further background on ownership and control in the context of EU sanction, please consult the EU Best Practices for the effective implementation of restrictive measures and Commission Opinion of 19.6.2020 on Article 2 of Council Regulation (EU) No 269/2014. Please note that additional sectorial sanctions (not included in the FSF platform) could apply to the proposed transaction. Please visit www.sanctionsmap.eu for a full list of EU sanctions.
Is the company subject to restrictive measures by third countries?*

Possible source of information for U.S sanctions: https://sanctionssearch.ofac.treas.gov/

Listings on stock exchanges
Exchange






Is/was the investment undergoing screening subject to assessment, authorisation, monitoring or other scrutiny pursuant to EU or national rules?

Is (or will) the transaction (be) subject to merger review under the EC Merger Regulation

Council Regulation (EC) No 139/2004 of 20 January 2004 on the control of concentrations between undertakings
Is the investment subject to another assessment, authorisation or monitoring in Malta, in another Member State or in a third country (e.g. domestic competition control, prudential supervision, sectoral authorisation or certification)?


Declarations












Further information and guidance on the filling in of this form may be obtained by contacting the Office;

+356 99964277 / +356 99213344

queries@nfdismalta.com

www.nfdismalta.com





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