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FUNDS & SECURITIES ISSUES

Forms

This page does not include any Forms relating to the Companies Registry (click here) or Banking Prudential Returns (click here).

The Forms on this page are subdivided into two sections, "General" and "Sector Specific", please scroll down the page to view
"Sector Specific" Forms, which are further subdivided by type.

Commission Forms are primarily presented in one of three formats:  Interactive pdf; Microsoft Word; or Microsoft Excel, and are generally to be submitted to the Commission in hard copy. The specific exceptions are the Commission’s Personal Questionnaire and those forms identified below with “ * ”, which may be submitted electronically.

GENERAL

Personal Questionnaires

The Commission requires Principal Persons and Key Persons applying for the first time, or those needing to update their information
(e.g. adding additional appointments), to do so by completing an electronic Personal Questionnaire (PQ) via the Web Portal.
The Commission will no longer accept paper-based PQ or Additional Appointment forms.
If you are accessing the Web Portal for the
first time you will be required to register before proceeding.
Please click on the following link: portal.jerseyfsc.org

Frequently Asked Questions relating to the completion of the electronic PQ can be found by clicking here.

Ceasing to Act

Please find below the ‘Notification of ceasing to act as Principal Person / Key Person’ Form’ which will remain in paper format. Guidance on completion is contained within the form.

PQ Notification of ceasing to act as Principal Person / Key Person Form

Outsourcing

Please find below the "Outsourcing Notification" referred to in the Outsourcing Policy document issued on 1 March 2017.
Please refer to the 2017 Policy for further guidance, available from Policy Statements and Guidance Notes.

● Outsourcing Notification

SECTOR SPECIFIC

Application/Registration

A fee may be required in addition to these Forms.  For information on fees payable to the Commission please click here.

The Commission has published indicative timescales for processing Fund Applications which can be viewed here.

Application for a certificate in respect of an unclassified fund
Application for a certificate in relation to an AIF
Application for an Incorporated Cell of an Incorporated Cell Company
Application for registration as a fund services business
Application for registration as an AIF Services Business
Application for approval as a Sub-Threshold AIFM
Application for approval as a Depositary of a closed-ended private equity/real estate AIF
Application for a Jersey Eligible Investor Fund
Application for a Jersey Expert Fund
Application for a Jersey Listed Fund
Application for a Jersey Private Fund
Initial Review Checklist - Funds

Annual Fee Forms

QSMA Annual Fee Return

Notification/Declaration

FSB Annual Compliance Return

The Funds Supervision Team has introduced a fund services business (“FSB”) Annual Compliance Return which requests information on the registered person’s business on an annual basis, bringing it into line with other sectors.  The information contained in the form will be used to assist our supervision of FSBs.

The form should be completed by all registered persons who hold a FSB registration, except for managed entities who do not need to complete. 

The return is for the period: 1 October 2014 – 30 September 2015. Completed forms should be returned to the Commission no later than Monday 30 November 2015.

If you have any questions, please contact Eilish Baird | Senior Manager, Funds Supervision
T: +44 (0) 1534 822056  E: e.baird@jerseyfsc.org

Notification of intention to rely on the QSMA Order
Notification of fund services businesses acting in respect of a Non-Jersey domiciled fund
Notification for seeking an exemption from the AIF Regulations
Notification for seeking an exemption from registration in respect of AIF Services Business
Notification of appointment as a Depositary in accordance with the AIF Codes
JPF Notice of Change or Event
JPF Return

Subordinated Loan Agreements

A Checklist has been provided to be utilised in respect of all subordinated loan agreements, to view the Checklist please click here.

FS(J)L SLA Proforma – Jersey Lender
FS(J)L SLA Proforma – Non-Jersey Lender

Cancellation/Amendment/Revocation Forms

CIF Cancellation of Certified Fund Certificate
Amendment of Certified Fund Certificate re Termination of Sub-Fund(s)
Fund Service Provider (excluding Trustee or GP) ceasing to act for a Jersey Certified Fund which is not cancelling its Certified Fund Certificate
Manager of managed entity (MOME) ceasing to act for Jersey Managed Entity
Fund Service Provider ceasing to act for a Non-Domiciled CIF
Revocation of FSB registration
Revocation of AIFSB registration
Revocation of a consent granted under the Control of Borrowing (Jersey) Order 1958 (“COBO”)
Cancellation of Jersey Recognized Fund Permit/Fund Functionary ceasing to act for a Jersey Recognized Fund

A recognized fund or a fund functionary/permit holder of a recognized fund should speak directly to a manager of the appropriate Supervisory Unit of the Commission in the event that it intends to cancel its permit/no longer act for the relevant recognized fund.

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