Jersey Financial Services Commission Logo
           

INVESTMENT BUSINESS

Themed on-site Examinations

The Commission addresses key risk areas impacting regulated entities through specific sector-wide assessments followed by selected on-site examinations. Entities visited receive assessment reports, possibly with corrective actions agreed. A summary of key findings is then published on the Commission’s website for guidance purposes.

Thematic programmes conducted, and those planned, are shown below. Please click on the title of each for more information.

                                                               
2018 Supervisory Thematic Programme Q1 & Q2

Summary Findings of 2014 and 2015 On-Site Examination Program - May 2016PDF Document (316k)

Findings of mystery shopping research – 5 October 2015PDF Document (503k)

Summary Findings of 2013 On-Site Examination Program - October 2014PDF Document (409k)

Dear CEO Letter - for Classes C & D Investment Business - 9 September 2011PDF Document (180k)

Dear CEO Letter - Investment Business - 6 April 2011PDF Document (510k)

Summary Findings of IB mystery shopping research - 2 February 2011 PDF Document (530k)

Dear CEO Letter - Investment Business - 26 April 2010 PDF Document (564k) 

Dear CEO Letter - Investment Business - 21 May 2008 PDF Document (448k)

Summary Findings of IB mystery shopping research - 20 May 2008 PDF Document (431k)

Summary Findings of the IB On-Site Themed Examination Programme 2007 PDF Document (120k)

 

         

 

< Back to contents