


Home > The Commission > General Information > Policy Statements And Guidance Notes > Index

THE COMMISSION

POLICY STATEMENTS AND GUIDANCE NOTES

This page does not include Policy Statements and Guidance Notes relating to the Companies Registry (click here) or AML/CFT (click here).
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 may be 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 – September 2012	PS
Discretionary Authorization of Auditors of Companies that are not Market Traded Companies – February 2013	PS
Matters Reserved for the Board of Commissioners – February 2006	PS
Referrals to the Attorney General – March 2006	PS
Sensitive Activities	PS
The Commission’s use of Public Statements – March 2011	PS
Written Consultation – October 2006	PS
Handbook on International Co-operation and Information Exchange - November 2012	PS	GN
Outsourcing (across all sectors) and Delegation by Jersey Certified Funds and FSBs - May 2011	PS	GN
Complaints against Regulated Service Providers		GN
Making a Subject Access Request - June 2009		GN
Subject Access Request Form		FORM
Market Turbulence – Dear CEO – September 2007		GN
The Commission's Decision-Making Process - August 2011		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

Sector Specific

• Banking Business (BB)	• Investment Business (IB)
• Funds - products and service providers (CIF)	• Trust Company Business (TCB)
• Insurance (INS)	• Money Services Business (MSB)
• General Insurance Mediation Business (GIMB)

		BB	CIF	INS	GIMB	IB	TCB	MSB
Banking Business Licensing Policy - March 2011	PS	●
Approval of Concession Limits for Governments and Connected Bank - April 2013	GN	●
Credit Risk: criteria for classification as a retail exposure or as a residential mortgage - October 2007	GN	●
Pillar 2 in Jersey - May 2009	GN	●
Impact of International Financial Reporting Standards on Banking Prudential Reporting – January 2006	GN	●
Liquidity management and reporting – May 2007	GN	●
The Commission’s rules relating to Trading Books – February 2008	GN	●
The exemption for banks from the ANLA requirement under the FS(J)L - Dear CEO - March 2008	GN	●
FS(J)L Licensing Policy – December 2010	PS		●		●	●	●	●
Promoters of Public and Private Collective Investment Funds	PS		●
Securities Issues under the Control of Borrowing Legislation	PS		●
Annual declarations – Dear CEO – March 2012	GN		●		●	●	●
Aspects of the Accounts Orders for FSB, GIMB, IB and TCB	GN		●		●	●	●
Collective Investment Funds (Certified Funds – Prospectuses) (Jersey) Order 2012 – Dear CEO – May 2012	GN		●
Circulation in Jersey of Offers for Subscription, Sale or Exchange of Securities Originating Outside Jersey	GN		●
COBO-only funds and Schedule 2 to the Proceeds of Crime Law - Dear CEO - September 2008	GN		●				●
Eligible Markets	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 - January 2012	GN		●
Manager of a Managed Entity ("MoME") and certain Managed Entities - April 2009	GN		●
Non- Jersey Domiciled Fund Guide – February 2007	GN		●
Open-ended unclassified collective investment funds offered to the general public - November 2012	GN		●
Insurance Business Licensing Policy - February 2011	PS			●
Applications for Motor Vehicle Liability Insurance	GN			●
Applications under the Insurance Business (Jersey) Law 1996 - August 2010	GN			●
Solvency Calculations – March 2007	GN				●
Span of Control – January 2005	GN				●	●	●
Forward foreign exchange transactions	PS					●
Treatment of insurance companies under the FS(J)L in respect of investment business	PS					●
Completion and submission of the details of a registered person’s investment employees and senior management information – April 2009	GN					●
Professional Qualifications (Investment Business) – July 2008	GN					●
Suitability of Advice – July 2008	GN					●
Advice versus Arranging – September 2001	GN						●
COBO Structures - Dear CEO - October 2011	GN		●				●
Common regulatory shortfalls and completion of the transitional TCB phase – Dear CEO – June 2008	GN						●
Company formations - Dear CEO - June 2011	GN						●
Conflicts of Interest - Dear CEO - October 2010	GN						●
Distinguishing between the authorisation requirements of a MTC & a PM within an Affiliation – September 2008	GN						●
Interpretation and Application of Principle 5 and The Second Schedule of the FS(J)L 1998 Trust Company Business Codes of Practice – January 2006	GN						●
Managed Trust Company Businesses – May 2013	GN						●
Natural persons undertaking the activity of acting as a director under the FS(J)L– November 2010	GN						●
Natural persons carrying on a single class of Trust Company Business – February 2009	GN						●
Professional Qualifications (Trust Company Business) (Interim) – July 2012	GN						●
Testamentary Trustees and Trustees of Shares in Property Holding Companies – January 2002	GN						●

<< Back to contents

Legal Information | Privacy Policy Statement | Email Disclaimer