FUNDS & SECURITIES ISSUES

Policy Statements & 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
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 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
Jersey Private Fund Guide - April 2017		GN
Jersey Private Fund Guide - Track Changed Version - 31 August 2018
JPF Notice of Change or Event Guidance Note		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 Guidance Note		GN

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