The Proceeds of Crime and Terrorism (Tipping Off – Exceptions) Regulations 2014 (“the Regulations”) have been in place for a while now but after...
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Investing in the emerging medical marijuana market
I should start with a caveat – I’m not a lawyer and I wouldn’t dream of claiming to be able to give legal advice. But I do spend quite a lot of...
Board effectiveness reviews
Revisions to the Codes of Practice in March 2018 included a new requirement that all aspects of a registered person’s corporate governance arrangem...
Presentation to the JCOA
Presentation to the JCOA On 6 June 2017, we spoke to members of the Jersey Compliance Officers Association on the subject of "Conflicts of In...
Conflicts of interest – the Compliance Officer has client-facing responsibilities
There are many difficulties facing anyone fulfilling the role of a key person, whether a Compliance Officer, Money Laundering Reporting Officer (“M...
Conflicts of interest – a director holds the same investment as a client
In this example, a director has invested into the same company / joint venture / property development etc as a structure under the administration of ...
Conflicts of interest – a client is a shareholder of the business
Under our first scenario, a shareholder of the regulated business is also a client of the business. This is not an uncommon occurrence in Jersey. ...
Conflicts of Interest
Introduction Conflicts of interest are all-pervasive in the finance industry yet their effective management seems to be an area where many busines...
Cyber Security Examinations
The JFSC has announced that cyber security is to be one of the themes to be assessed next year as part of their onsite examination programme. However...
