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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.

  Civil Financial Penalties on Principal Persons - Methodology for determining the amount PS  
  Civil Financial Penalties on Registered Persons - Methodology for determining the amount    
  Commissioners’ Code of Conduct regarding Conflicts of Interest – February 2013 PS  
  Data Protection Statement PS  
  Delegation of Powers of the Commission PS  
  Discretionary Authorization of Auditors of Companies that are not Market Traded Companies PS  
  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
  Outsourcing Policy - March 2017  PS GN
  Making a Subject Access Request   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
  The Application Process for Issuers of Initial Coin Offerings (ICOs) - July 2018   GN
  Guidance Note on Integrity and Competence   GN

Specific to Banking Business

  Banking Business Licensing Policy - September 2014 PS  
  Approval of Concession Limits for Governments and Connected Bank - December 2014   GN
  Pillar 2 in Jersey - March 2017    GN 
  Pillar 2 in Jersey - June 2018, effective 1 January 2019   GN
  Impact of International Financial Reporting Standards on Banking Prudential Reporting – February 2019    GN
  Liquidity management and reporting – May 2007   GN
  Basel III: Liquidity Management and Reporting for Jersey Incorporated Deposit-Takers - June 2018, effective 1 January 2019   GN 
  The Commission’s rules relating to Trading Books – February 2013   GN



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