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
Session A - Trust Company Business Tuesday 14 March 2006 08.15-08.45 Registration 08.45-09.15 Introduction - including outline of recent Commission Helen Hatton, Deputy Director General communications 09.15-09.35 2005 overview and plans for the year ahead Debbie Sebire, Director - Trust Company Business 09.35-09.55 Guidance Notes re common financial resource Jackie McLaughlin, Senior Financial Analyst - issues Trust Company Business Nicola Crowell, Financial Analyst - Trust Company Business 09.55-10.15 Principal person applications - the process Chris Cooke, Deputy Director - Trust Company Business and the rationale 10.15-10.35 Span of Control - the Commission s expectations David Oliver, Senior Manager - Trust Company Business re principal persons 10.35-11.00 Refreshments 11.00-11.30 Companies Law update - including protected cell Julian Lamb, Deputy Registrar companies, incorporated cell companies, corporate directors, beneficial owner disclosure, reserve companies 11.30-12.15 Anti-Money Laundering update Andrew Le Brun, Director - International & Policy Helen Holmes, Senior Manager - Enforcement 12.15-12.40 Customer Money Order - common findings Chris Cooke, Deputy Director - Trust Company Business 12.40-13.00 Questions Panel discussion 13.00-14.00 Lunch 14.00-14.20 What to expect from a Commission Darren Boschat, Senior Manager - Trust Company Business examination 14.20-14.40 2005/6 Examination feedback Janice Kearsey, Senior Examiner- Trust Company Business 14.40-15.00 Role of the compliance officer Laura Guglieri, Manager - Trust Company Business 15.00-15.20 Triggers for heightened regulatory attention - typical Debbie Sebire, Director - Trust Company Business cases explored 15.20-15.45 Refreshments 15.45-16.10 Codes of Practice - amendments and consultation Darren Boschat, Senior Manager - Trust Company Business process 16.10-16.20 Corporate governance - common issues and best Matthew Chambers, Manager - Trust Company Business practice 16.20-16.35 File reviews - the edited highlights David Oliver, Senior Manager - Trust Company Business 16.35-17.00 Questions Panel discussion 17.00 Close
Session B - Investment Business Wednesday 15 March 2006 - AM 08.30-09.00 Registration 09.00-09.30 Introduction Helen Hatton, Deputy Director General 09.30-09.45 2005 - achievements, structural changes and plans Mike Jones, Deputy Director - Securities for the year ahead 09.45-10.00 Shape of the Investment Business industry in Jersey Caroline Morgan, Senior Manager - Investment Business 10.00-10.25 Principal person applications - Andy Pryke, Manager - Funds the process, rationale and ongoing obligations and responsibilities Chris Jordan, Manager - Investment Business 10.25-10.55 Refreshments 10.55-11.25 What to expect from a Commission examination Caroline Morgan, Senior Manager - Investment Business 2005/6 Examination feedback 11.25-12.10 Anti-Money Laundering update Andrew Le Brun, Director - International & Policy Helen Holmes, Senior Manager - Enforcement 12.10-12.30 The future Caroline Morgan, Senior Manager - Investment Business MIFID Other policy initiatives 12.30-13.00 Questions Panel discussion 13.00 Close
Session C - Banking Wednesday 15 March 2006 - PM 13.00-13.30 Registration 13.30-14.00 Introduction Helen Hatton, Deputy Director General 14.00-14.15 2005 - achievements, structural changes and plans Mark Sumner, Director - Banking for the year ahead 14.15-14.45 Prudential monitoring, including liquidity Nick Sheard, Deputy Director - Banking management 14.45-15.10 On-site examinations plans, including Annual Review Richard Batho, Manager - Banking Meetings 15.10-15.40 Banking Codes Mark Sumner, Director - Banking 15.40-16.00 Refreshments 16.00-16.15 Large Exposures Keith Beresford, Manager - Banking 16.15-16.40 Basel II David Eastwood, Manager - Banking 16.40-17.10 Anti-Money Laundering ML issues, including Special Andrew Le Brun, Director - International & Policy Recommendation Vll - impact on wire transfers and Jersey AML legislation 17.10-17.30 Current issues and developments Nick Sheard, Deputy Director - Banking 17.30 Close
Session D - Funds Thursday 16 March 2006 08.30-09.00 Registration 09.00-09.15 Introduction including overview of Jersey Legislation Helen Hatton, Deputy Director General regarding Anti-Corruption and Export Control 09.15-09.30 2005 - achievements, structural changes and plans Mike Jones, Deputy Director - Securities for the year ahead 09.30-10.00 Current projects and legislative developments - David Banks, Consultant - Funds CIF/FSJL merger, non-dom exemption 10.00-10.15 Draft Codes of Practice for service providers - Mike Jones, Deputy Director - Securities overview 10.15-10.35 Proposed Expert Fund guide revisions David Banks, Consultant - Funds 10.35-11.00 Refreshments 11.00-11.30 Companies Law update - including protected cell Julian Lamb, Deputy Registrar companies, incorporated cell companies, corporate directors, beneficial owner disclosure, reserve companies 11.30-12.15 Anti-Money Laundering update Andrew Le Brun, Director - International & Policy Helen Holmes, Senior Manager - Enforcement 12.15-12.40 Principal person applications - the process, rationale Andy Pryke, Manager - Funds and ongoing obligations and responsibilities Paul Le Marrec, Senior Manager - Funds 12.40-13.00 Questions Panel discussion 13.00-14.00 Lunch 14.00-14.15 What to expect from a Commission examination Mike Jones, Deputy Director - Securities 14.15-14.30 2005/06 Examination feedback Paul Le Marrec, Senior Manager - Funds 14.30-14.45 Listing of Expert Funds David Banks, Consultant - Funds 14.45-15.10 Refreshments 15.10-15.40 Fund Authorisation process Roy Geddes, Senior Manager - Funds Helen Lincoln, Manager - Funds David Porter, Manager - Funds 15.40-15.55 Questions Panel discussion 15.55-16.00 Concluding remarks Helen Hatton, Deputy Director General 16.00 Close
Session E - Enforcement Friday 17 March 2006 08.30-09.00 Registration 09.00-09.30 Introduction - including outline of recent Helen Hatton, Deputy Director General Commission communications 09.30-09.50 2005 - achievements, structural changes and plans for Gary Godel, Director - Enforcement the year ahead 09.50-10.30 Feedback from investigations Gary Godel, Director - Enforcement 10.30-10.45 Refreshments Jason Carpenter, Senior Manager - Enforcement 10.45-11.30 An investigator s experience Collingwood Thompson, QC 7 Bedford Row Chambers 11.30-12.00 Reducing the risks - JFSC Website and other helpful Nicola Ingram, Manager - Enforcement sources Jason Carpenter, Senior Manager - Enforcement 12.00-12.30 Recovery actions - from Supervision to Enforcement James Mews, Manager - Enforcement 12.30-13.00 Questions 13.00 Close
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 E-mail Sessions Costs are 80.00 for a Full Day and 45.00 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) 80.00 Session B - Investment Business Wednesday 15 March 2006 (Half day - am) 45.00 Session C - Banking Wednesday 15 March 2006 (Half day - pm) 45.00 Session D - Funds Thursday 16 March 2006 (Full day) 80.00 Session E - Enforcement Friday 17 March 2006 (Half day - am) 45.00 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
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 email 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: 629800 Facsimile: 629900 Email 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.