TRUST COMPANY BUSINESS Tuesday 14 March INVESTMENT BUSINESS Wednesday 15 March BANKING Wednesday 15 March 2006

Transcription

1 SECTOR SPECIFIC REGULATORY SEMINARS Session A TRUST COMPANY BUSINESS Tuesday 14 March 2006 Session B INVESTMENT BUSINESS Wednesday 15 March 2006 Session C BANKING Wednesday 15 March 2006 Session D FUNDS Thursday 16 March 2006 Session E ENFORCEMENT Friday 17 March 2006 at Royal Hotel David Place St. Helier

2 Session A - Trust Company Business Tuesday 14 March Registration Introduction - including outline of recent Commission Helen Hatton, Deputy Director General communications overview and plans for the year ahead Debbie Sebire, Director - Trust Company Business Guidance Notes re common financial resource Jackie McLaughlin, Senior Financial Analyst - issues Trust Company Business Nicola Crowell, Financial Analyst - Trust Company Business Principal person applications - the process Chris Cooke, Deputy Director - Trust Company Business and the rationale Span of Control - the Commission s expectations David Oliver, Senior Manager - Trust Company Business re principal persons Refreshments Companies Law update - including protected cell Julian Lamb, Deputy Registrar companies, incorporated cell companies, corporate directors, beneficial owner disclosure, reserve companies Anti-Money Laundering update Andrew Le Brun, Director - International & Policy Helen Holmes, Senior Manager - Enforcement Customer Money Order - common findings Chris Cooke, Deputy Director - Trust Company Business Questions Panel discussion Lunch What to expect from a Commission Darren Boschat, Senior Manager - Trust Company Business examination /6 Examination feedback Janice Kearsey, Senior Examiner- Trust Company Business Role of the compliance officer Laura Guglieri, Manager - Trust Company Business Triggers for heightened regulatory attention - typical Debbie Sebire, Director - Trust Company Business cases explored Refreshments Codes of Practice - amendments and consultation Darren Boschat, Senior Manager - Trust Company Business process Corporate governance - common issues and best Matthew Chambers, Manager - Trust Company Business practice File reviews - the edited highlights David Oliver, Senior Manager - Trust Company Business Questions Panel discussion Close

3 Session B - Investment Business Wednesday 15 March AM Registration Introduction Helen Hatton, Deputy Director General achievements, structural changes and plans Mike Jones, Deputy Director - Securities for the year ahead Shape of the Investment Business industry in Jersey Caroline Morgan, Senior Manager - Investment Business Principal person applications - Andy Pryke, Manager - Funds the process, rationale and ongoing obligations and responsibilities Chris Jordan, Manager - Investment Business Refreshments What to expect from a Commission examination Caroline Morgan, Senior Manager - Investment Business 2005/6 Examination feedback Anti-Money Laundering update Andrew Le Brun, Director - International & Policy Helen Holmes, Senior Manager - Enforcement The future Caroline Morgan, Senior Manager - Investment Business MIFID Other policy initiatives Questions Panel discussion Close

4 Session C - Banking Wednesday 15 March PM Registration Introduction Helen Hatton, Deputy Director General achievements, structural changes and plans Mark Sumner, Director - Banking for the year ahead Prudential monitoring, including liquidity Nick Sheard, Deputy Director - Banking management On-site examinations plans, including Annual Review Richard Batho, Manager - Banking Meetings Banking Codes Mark Sumner, Director - Banking Refreshments Large Exposures Keith Beresford, Manager - Banking Basel II David Eastwood, Manager - Banking Anti-Money Laundering ML issues, including Special Andrew Le Brun, Director - International & Policy Recommendation Vll - impact on wire transfers and Jersey AML legislation Current issues and developments Nick Sheard, Deputy Director - Banking Close

5 Session D - Funds Thursday 16 March Registration Introduction including overview of Jersey Legislation Helen Hatton, Deputy Director General regarding Anti-Corruption and Export Control achievements, structural changes and plans Mike Jones, Deputy Director - Securities for the year ahead Current projects and legislative developments - David Banks, Consultant - Funds CIF/FSJL merger, non-dom exemption Draft Codes of Practice for service providers - Mike Jones, Deputy Director - Securities overview Proposed Expert Fund guide revisions David Banks, Consultant - Funds Refreshments Companies Law update - including protected cell Julian Lamb, Deputy Registrar companies, incorporated cell companies, corporate directors, beneficial owner disclosure, reserve companies Anti-Money Laundering update Andrew Le Brun, Director - International & Policy Helen Holmes, Senior Manager - Enforcement Principal person applications - the process, rationale Andy Pryke, Manager - Funds and ongoing obligations and responsibilities Paul Le Marrec, Senior Manager - Funds Questions Panel discussion Lunch What to expect from a Commission examination Mike Jones, Deputy Director - Securities /06 Examination feedback Paul Le Marrec, Senior Manager - Funds Listing of Expert Funds David Banks, Consultant - Funds Refreshments Fund Authorisation process Roy Geddes, Senior Manager - Funds Helen Lincoln, Manager - Funds David Porter, Manager - Funds Questions Panel discussion Concluding remarks Helen Hatton, Deputy Director General Close

6 Session E - Enforcement Friday 17 March Registration Introduction - including outline of recent Helen Hatton, Deputy Director General Commission communications achievements, structural changes and plans for Gary Godel, Director - Enforcement the year ahead Feedback from investigations Gary Godel, Director - Enforcement Refreshments Jason Carpenter, Senior Manager - Enforcement An investigator s experience Collingwood Thompson, QC 7 Bedford Row Chambers Reducing the risks - JFSC Website and other helpful Nicola Ingram, Manager - Enforcement sources Jason Carpenter, Senior Manager - Enforcement Recovery actions - from Supervision to Enforcement James Mews, Manager - Enforcement Questions Close

7 Registration Form SECTOR SPECIFIC REGULATORY SEMINARS Please type or write in BLOCK CAPITALS. Please complete ONE Registration Form PER DELEGATE. Title First Name Surname Position Company Address Sessions Costs are for a Full Day and for a Half Day, Per Delegate. Full details are given below. Please TICK which Session(s) you wish to attend. I wish to attend the following Seminar Session(s): per session Please Tick Session A - Trust Company Business Tuesday 14 March 2006 (Full day) Session B - Investment Business Wednesday 15 March 2006 (Half day - am) Session C - Banking Wednesday 15 March 2006 (Half day - pm) Session D - Funds Thursday 16 March 2006 (Full day) Session E - Enforcement Friday 17 March 2006 (Half day - am) A two course buffet lunch is available daily at an extra cost of 12 per person. Please indicate Session(s) on which lunch is required (Please Tick) Tuesday Wednesday Thursday Friday Cost Per Delegate for Total Session(s) Please complete Total Lunch Costs Please complete Final Registration Fee Please complete I enclose a cheque, made payable to Jersey Financial Services Commission, for

8 Booking Information RESERVATIONS Bookings should be made on the official Registration Form above. Text may be typed and printed or written onto the form. All forms must be accompanied by the Registration fee. Payment can be made by cheque, made payable to the Jersey Financial Services Commission, and sent to the address below. Closing date: Monday 6 March 2006 An confirmation will be sent to acknowledge receipt of your fee and booking. DELEGATE PLACES Delegate places will be issued on a first come, first served basis. Whilst every effort will be made to accommodate, Concept Communications Limited and the Jersey Financial Services Commission reserve the right to limit the number of delegates per organisation. CONFERENCE PROGRAMME Please note, dates/timings of sessions may be subject to change, without prior notice. REFRESHMENTS Morning coffee and afternoon tea are included in the fee. Lunch is available as an optional extra (Please see Registration Form). CONFERENCE VENUE Royal Hotel, David Place, St Helier. PLEASE RETURN THE COMPLETED REGISTRATION FORM TOGETHER WITH YOUR PAYMENT TO: Concept Communications Limited Royal Jersey Showground La Route de la Trinité Trinity JERSEY JE3 5JP Please address any queries to Concept Communications Limited: Telephone: Facsimile: events@concept-comms.com DATA PROTECTION STATEMENT Concept Communications Limited, Event Organisers on behalf of the Jersey Financial Services Commission, are registered under current Data Protection legislation, and any information received by you will be stored securely and used only for the purposes stated above. Information received will only be issued by Concept Communications Limited to any person in the event a) that you ask us to or b) that we are placed under a legal obligation to do so.