Category Archives: Jersey Regulatory

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How safe is your client money?

I couldn’t help but notice one of the more significant amendments proposed by the JFSC in Consultation Paper No. 10 (Amendments to the Codes of Prac...

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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...

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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...

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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...

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How effective is your compliance function?

Hopefully these observations don’t apply to you or your business, however they have all appeared in public statements issued by the Jersey Financia...