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   Home > Funds Securities Issues > Policy Statements And Guidance Notes > Index

FUNDS & SECURITIES ISSUES

POLICY STATEMENTS AND GUIDANCE NOTES

The documents on this page are subdivided into two sections, "General Application" and "Sector Specific", please scroll down the page to view "Sector Specific" documents. Additionally, Frequently Asked Questions relating to the Commission’s Personal Questionnaire process can be found by clicking here.

Policy Statements (PS) - record the Commission’s policies in respect of certain aspects of legislation or regulatory approach.
Guidance Notes (GN) - provide guidance on complying with either a legislative or regulatory requirement.

General Application

The following Policy Statements and Guidance Notes have general application and are of interest to all persons.

  Commissioners’ Code of Conduct regarding Conflicts of Interest – February 2013 PS  
  Data Protection – June 2009 PS  
  Delegation of Powers of the Commission PS  
  Discretionary Authorization of Auditors of Companies that are not Market Traded Companies PS  
  Matters Reserved for the Board of Commissioners – February 2006 PS  
  Regulatory Sanctions: Decision-Making Process PS  
  Sound Business Practice Policy PS  
        Registry Processing Statement   GN
  The Commission’s use of Public Statements – March 2011 PS  
  Handbook on International Co-operation and Information Exchange PS GN
  Outsourcing (across all sectors) and Delegation by Jersey Certified Funds and FSBs - May 2011 PS GN
  Making a Subject Access Request - June 2009   GN
        Subject Access Request Form   FORM
  Market Turbulence – Dear CEO – September 2007   GN
  The Commission’s use of Enforcement Powers – July 2006   GN
  Financial restrictions against Iranian Banks - Dear CEO - November 2011   GN
  The UK's Bribery Act - Dear CEO - December 2011   GN
  Compliance Monitoring - Dear CEO - December 2013   GN
  Compliance Monitoring Guidance Note - December 2013   GN
  Making a Referral to the Police and/or the Attorney General   GN
  Cyber-security - Dear CEO - February 2016 GN


Specific to Funds and Fund Services Business

  FS(J)L Licensing Policy – December 2010 PS  
        FSBs intending to structure as or with an LLP   GN
  Promoters of Public and Private Collective Investment Funds PS  
  Securities Issues under the Control of Borrowing Legislation PS  
  AIFMD Regime Transitional Arrangements, Exemptions and Commission Forms   GN
  ANLA Calculations – with effect from July 2014   GN
  Annual declarations – Dear CEO – March 2012   GN
  Aspects of the Accounts Orders for FSB, GIMB, IB and TCB   GN
  Circulation in Jersey of Offers for Subscription, Sale or Exchange of Securities Originating Outside Jersey   GN
  COBO Structures - Dear CEO - October 2011   GN
  COBO-only funds and Schedule 2 to the Proceeds of Crime Law - Dear CEO - September 2008   GN
  Collective Investment Funds (Certified Funds – Prospectuses) (Jersey) Order 2012 – Dear CEO – May 2012   GN
  Eligible Markets   GN
  Jersey Eligible Investor Fund Guide – July 2013   GN
  Jersey Expert Fund Regime – Effective Due Diligence – Dear CEO – June 2006   GN
  Jersey Expert Fund Guide – November 2012   GN
  Jersey Listed Fund Guide – November 2012   GN
  Jersey Private Placement Fund Guide - May 2013   GN
  Manager of a Managed Entity ("MoME") and certain Managed Entities -  April 2009   GN
  Open-ended unclassified collective investment funds offered to the general public - November 2012   GN
  Professional Indemnity Insurance (PII) – with effect from July 2014   GN

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