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CAROL Project – Consultation on the Clients’ Money and Clients’ Investments Chapters of the Rule Book and the Annual Compliance Return 17 January 2008

A consultation on the Clients’ Money (Appendix A) and Clients’ Investments (Appendix C) Chapters of the Rule Book and the format and content of the Annual Compliance Return (Appendix E) has been published today. The Commission welcomes responses on any aspect of this consultation and would be grateful if comments could be submitted before 15th February 2008.

Persons wishing to comment on this consultation are advised to focus their attention initially on the RoadMaps contained at Appendices B and D, which are included with the consultation paper. The RoadMaps identify the existing legislation and its new location in the Rule Book and, more importantly, highlight those areas of change to the existing legislation which may impact on licenceholders.

The consultative paper and its Appendices can be found on the Commission’s website at: http://www.gov.im/lib/docs/fsc/Consultative/draftconsultpaper.pdf

Enquiries:

Mrs Shirley E Corlett
Senior Adviser
Policy & Legal Division
Financial Supervision Commission
P O Box 58
Finch Hill House
Bucks Road
Isle of Man
IM99 1DT

Direct Line: 01624 689323

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