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Regulatory Services

We have considerable experience working with the Jersey Financial Services Commission (“JFSC”) on numerous regulatory assignments. As well as carrying out themed examination programmes on behalf of the JFSC, we have also been appointed as Manager under Article 2 of the “Manager” Order, provided reports on applications to conduct trust and company business under Article 7 (5), produced reports on businesses under Article 32 and Acted under Directions Orders under Article 23.

We have also provided support to all four industry divisions of the Guernsey Financial Services Commission (“GFSC”), namely banking, insurance, fiduciary, and investment business. The services we have provided have ranged from being appointed as administrator, or in compulsory liquidations as liquidator, to regulatory investigations working either as sole investigators or as joint investigators with the Regulator.

Risk management, compliance, good governance, secure systems, and controls are all key phrases in the financial services industry at the present time. Firms must ensure their compliance function has the depth of expertise required to manage all regulatory requirements within the business. Those that can demonstrate good governance and high standards of compliance are reaping the rewards.

In addition to working with the JFSC, we have carried out assignments for a number of firms within the financial services industry. We have been instructed to assess and report to group companies on compliance with policies and procedures at a local level, as well as developing policies and procedures that comply with local regulations.

How we can help

A partnership with our team of experts provides you with professionals with a proven track record for successfully helping organisations manage regulatory risk, and dealing with attention from the regulator. Our services are based upon a partnership approach where it is vital to us to be able to work with you, listening to your needs and requirements and accommodating the ethics and strategies within your business. Our professionals not only ensure you are compliant with regulations but also help you achieve your business goals within these parameters.

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Key contact

  • Andrew Isham
  • Rick Garrard
  • Alex Adam
    Senior Manager
  • Sarah Sanders
    Isle of Man
  • Sally Rochester
    Senior Manager
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