With only 6 months to go until the EU General Data Protection Regulation (GDPR) takes effect, both Jersey and Guernsey are working hard on implementi...
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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...
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...
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...
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...
Class G risk consultations
Individuals holding a personal Class G registration to act as a director are exposed to a variety of potentially hazardous risks, many of which are l...
