Rehabilitation of
Offenders (Exceptions) (Jersey) Regulations 2002
Opening provisions
1 Interpretation
(1) In
these Regulations, except where the context otherwise requires –
“children”
means persons not of full age;
“Commission”
means the Jersey Financial Services Commission established by Article 2 of
the Financial
Services Commission (Jersey) Law 1998;
“compulsory school
age” has the same meaning as in the Education
(Jersey) Law 1999;
“firearms dealer”
has the same meaning as in the Firearms
(Jersey) Law 2000;
“Law” means
the Rehabilitation
of Offenders (Jersey) Law 2001;
“prison” has
the same meaning as in the Prison (Jersey)
Law 1957;
“relevant offence”
means –
(a) an offence whether under the law of Jersey
or of a country or territory outside Jersey –
(i) involving fraud,
or other dishonesty,
(ii) involving
perjury or conspiracy to pervert the course of justice;
(b) an
offence under –
(i) the Collective
Investment Funds (Jersey) Law 1988,
(ii) the
Banking
Business (Jersey) Law 1991,
(iii) the
Insurance
Business (Jersey) Law 1996,
(iv) the
Financial
Services (Jersey) Law 1998,
(v) the
Proceeds of
Crime (Supervisory Bodies) (Jersey) Law 2008,
(vi) the
Alternative
Investment Funds (Jersey) Regulations 2012,
(vii) any
Regulations or Order made under any of the enactments listed in clauses (i) to (v);
(c) any
offence under the law of a country or territory outside Jersey similar to those
listed in sub-paragraph (b);
(d) If
sub-paragraph (b) or (c) does not apply, an offence under any enactment
(whether or not of Jersey), relating to banking or other financial services,
building societies, collective investment funds, companies, consumer credit,
consumer protection, credit unions, friendly societies, industrial and provident
societies, insider dealing, insolvency, insurance, money laundering or
terrorist financing.[1]
(2) Where
these Regulations disapply any provision of the Law, the disapplication extends
to spent convictions for offences of every description, unless it is expressed
to extend only to spent convictions for relevant offences.
2 “Work”
to include voluntary work, etc.
In these Regulations –
“work”
includes –
(a) work of any kind, whether paid or unpaid,
and whether under a contract of service or apprenticeship, under a contract for
services, or otherwise than under a contract; and
(b) an office established by or by virtue of an
enactment.
3 General
conditions for questions
(1) Except
in Regulation 15, these Regulations shall apply only to a question –
(a) if, at the time the question is asked, the person
questioned is informed that, by virtue of these Regulations –
(i) in the case of a
question to which Regulation 20 or 21 applies, spent convictions for any
relevant offence must be disclosed, and
(ii) in
the case of a question asked to which any other provisions of these Regulations
applies, all spent convictions must be disclosed; and
(b) where the person to whom the question
relates is not the person questioned, if, before the question is asked, the person
to whom it relates is informed that it will be asked and of the requirements
for disclosure referred to in sub-paragraph (a).
(2) Save
as provided in Regulation 21, these Regulations shall apply only to a
question asked by or on behalf of a person in the course of the duties of his
or her office or employment.
General categories
4 Judiciary
and legislature
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) for any judicial appointment, being an
appointment to any office by virtue of which the holder has power (whether
alone or with others) under any enactment or rule of law to determine any
question affecting the rights, privileges, obligations or liabilities of any person;
(b) for appointment as –
(i) Attorney General,
Solicitor General or a Crown Advocate,
(ii) Judicial
Greffier, Deputy Judicial Greffier
or a Greffier Substitute,
(iii) Viscount,
Deputy Viscount or a Viscount Substitute,
(iv) Greffier of the States or Deputy Greffier
of the States.
(2) Article 10(2)(b)
of the Law shall not apply to any appointment mentioned in paragraph (1).
5 Professions
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the suitability
of the person to whom the question relates for admission as an advocate or
solicitor of the Royal Court.
(2) Article 10(1) of
the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates for authorization,
enrolment, recognition or registration, as the case may be, to practise any of
the following professions in Jersey, namely –
(a) medical practitioner, pursuant to the Medical
Practitioners (Registration) (Jersey) Law 1960;
(b) registered person within the meaning of
Article 1 of the Dentistry
(Jersey) Law 2015;
(c) optometrist or dispensing optician, pursuant
to the Opticians
(Registration) (Jersey) Law 1962;
(d) pharmacist, pursuant to the Pharmacists and
Pharmacy Technicians (Registration) (Jersey) Law 2010;
(e) midwife,
pursuant to the Health Care
(Registration) (Jersey) Law 1995;
(f) veterinary surgeon, pursuant to the Veterinary
Surgeons (Jersey) Law 1999;
(g) any profession to which the Health Care
(Registration) (Jersey) Law 1995 applies and which is undertaken
following registration under that Law. [2]
(3) Article 10(2)(b)
of the Law shall not apply to –
(a) the dismissal or exclusion of any person
from the profession of advocate or solicitor of the Royal Court;
(b) the cancellation of any authorization,
enrolment, recognition or registration to practise in Jersey any profession
mentioned in paragraph (2).
(4) Article 7
of the Law shall not apply to –
(a) any proceedings in respect of a person’s
admission as an advocate or solicitor of the Royal Court or any disciplinary
proceedings against such a person; or
(b) any proceedings in respect of the
cancellation of any person’s authorization, enrolment, recognition or
registration to practise in Jersey any profession mentioned in paragraph (2).
6 Law
enforcement officers
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates for office or
appointment as –
(a) a member of the States of Jersey Police
Force;
(b) a member of the Honorary Police;
(c)
(d) a police cadet, to undergo training with a
view to becoming a member of the States of Jersey Police Force;
(e) a customs officer, pursuant to Article 4
of the Customs
and Excise (Jersey) Law 1999;
(f) an immigration officer, pursuant to paragraph
1 of Part 1 of Schedule 2 to the Immigration Act 1971, as it is
applied to Jersey pursuant to the Immigration (Jersey) Order 1993;
(g) a fishery officer, pursuant to Article 14
of the Sea
Fisheries (Jersey) Law 1994;
(h) a traffic officer, pursuant to the Motor Traffic
(Jersey) Law 1935.[3]
(2) Article 10(2)(b)
of the Law shall not apply to any office or appointment mentioned in paragraph (1).
(3) Article 7
of the Law shall not apply to disciplinary proceedings against any officer
mentioned in paragraph (1)(a) to (c) or a police cadet.
(4) Article 7
of the Law shall not apply to proceedings before the Royal Court relating to
the swearing-in of a person as a member of the Honorary Police.[4]
7 Other
posts related to the judiciary, the legislature and law enforcement
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) for appointment to the Bailiff’s
Department, the Law Officers Department, the Viscount’s Department or the
Judicial Greffe;
(b) for employment for the purposes of or to
assist members of the States of Jersey Police Force or Honorary Police;
(c) for employment concerned with the
administration of or otherwise normally carried out wholly or partly within the
precincts of the prison;
(d) for appointment
as a probation officer, being a person named or designated as a
délégué pursuant to the Loi (1937)
sur l’atténuation des peines et sur la mise en
liberté surveillée;
(e) for designation as a relevant officer
pursuant to Article 10 of the Criminal Justice
(Community Service Orders) (Jersey) Law 2001.
(2) Article 10(2)(b)
of the Law shall not apply to any appointment, employment or office mentioned
in paragraph (1).
8 Official
Analyst and staff
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) for appointment as Official Analyst;
(b) for employment in the office of the Official
Analyst.[5]
(2) Article 10(2)(b)
of the Law shall not apply to any appointment or employment mentioned in paragraph (1).
(3) In
this Regulation, “Official Analyst” means the Official Analyst
appointed under the Official Analyst
(Jersey) Law 2022.[6]
9 Lieutenant-Governor’s
staff
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates for employment within
the official residence of the Lieutenant-Governor.
(2) Article 10(2)(b)
of the Law shall not apply to any employment falling within paragraph (1).
10 Firearms,
explosives and fireworks
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) to pursue any of the following occupations
or to pursue any of them subject to a particular condition or restriction, namely –
(i) firearms dealer,
(ii) any
occupation in respect of which a person, as occupier of premises on which
explosives are kept, is required to obtain a licence from the Minister for Justice and Home Affairs[7] under the Explosives
(Jersey) Law 1970,
(iii) any
occupation in respect of which a person, as seller of fireworks, is required to
obtain a licence from a Connétable under Article 8
of the Explosives
(Jersey) Law 1970;
(b) to hold any of the following certificates,
permits or licences or to hold any of them subject to a particular condition or
restriction –
(i) a firearm certificate
issued under the Firearms
(Jersey) Law 2000,
(ii) a
permit issued under Article 12(1)(c), 14(8), 19(2) or 50 of the Firearms
(Jersey) Law 2000,
(iii) any
licence granted under the Explosives
(Jersey) Law 1970.[8]
(2) Article 10(2)(b)
of the Law shall not apply to any occupation mentioned in paragraph (1)(a).
(3) Article 7
of the Law shall not apply to any proceedings under the Firearms
(Jersey) Law 2000 in respect of –
(a) the registration of a person as a firearms
dealer, the removal of a person’s name from a register of firearms or the
imposition, variation, or revocation of conditions of any such registration;
(b) the grant, renewal, variation or revocation
of a firearm certificate;
(c) the grant of a permit under Article 12(1)(c),
14(8), 19(2) or 50 of that Law;
(d) the grant, renewal, variation or
cancellation of a licence under the Explosives
(Jersey) Law 1970.
11 Gambling[9]
(1) Article 7 of the Law shall not apply to
any proceedings in respect of the refusal of, imposition of conditions upon or
variation or revocation of any licence or certificate granted by or any
registration by the Jersey Gambling Commission or by the Minister
for Sustainable Economic Development in relation to gambling.[10]
(2) Article 10(1) of the Law shall not
apply when a question is asked in order to assess the suitability of the person
to whom the question relates –
(a) for appointment as a Commissioner of the
Jersey Gambling Commission;
(b) to hold any licence, permit or approval
issued by the Jersey Gambling Commission or to be registered by that
Commission; or
(c) for employment in any occupation for which
any such licence, permit, approval or registration is required.[11]
(3) Article 10(1) and (2)(a) of the Law
shall not apply to the disclosure of information under paragraph 7 of
Schedule 1 to the Gambling Commission (Jersey) Law 2010.
(4) Article 10(2)(b) of the Law shall not
apply to –
(a) the office of Commissioner of the Jersey
Gambling Commission; or
(b) any occupation to which paragraph (2)(c)
applies.
12 PSV
licence and badge holders
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) to hold a public service vehicle licence;
(b) to be issued with a badge to drive a public
service vehicle;
(c) for employment in any occupation for which
such a licence or badge is required.
(2) Article 7
of the Law shall not apply to any proceedings in respect of the refusal,
suspension or revocation of a public service vehicle licence or a badge.
(3) Article 10(2)(b)
of the Law shall not apply to employment in any occupation falling within paragraph (1)(c).
(4) In
this Regulation, “badge”, “public service vehicle” and
“public service vehicle licence” have the same meaning as in the Motor Traffic
(Jersey) Law 1935.
13 Liquor
licensing
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) to be granted a licence under the 1974 Law;
(b) to be registered as a manager of licensed
premises;
(c) to be approved as a deputy for a licence
holder or manager pursuant to Article 19 of the 1974 Law;
(d) for employment in any occupation which
requires the employee to hold a licence under the 1974 Law or be
registered as a manager of licensed premises or approved pursuant to Article 19
of that Law.
(2) Article 7
of the Law shall not apply to any proceedings in respect of –
(a) the refusal of,
imposition of conditions upon or variation of any licence or in respect of the
grant of a licence of a category different from that applied for;
(b) the refusal of registration of a person as
manager of licensed premises;
(c) the refusal of approval of a person pursuant
to Article 19 of the 1974 Law.
(3) Article 10(2)(b)
of the Law shall not apply to employment in any occupation falling within paragraph (1)(d).
(4) In
this Regulation, “1974 Law” means the Licensing
(Jersey) Law 1974 and “licence”, “licensed
premises” and “manager” have the same meaning as in that Law.
13A Licensing of
controlled drugs[12]
(1) This
Regulation applies with respect to –
(a) a licence issued under Article 3 of the
Misuse of
Drugs (General Provisions) (Jersey) Order 2009 to produce, supply, offer to
supply or possess a controlled drug; and
(b) a licence issued under Article 10 of
that Order to cultivate plants of the genus Cannabis.
(2) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of a person to hold a licence referred to in paragraph (1), if
the question relates to –
(a) the applicant for or the holder of such a
licence; or
(b) a person who, as a result of his or her role
in, or relationship to, the applicant for or holder of such a licence –
(i) is required to be
named in the application for the licence, or
(ii) would
have been so required had the person been in that role or had that relationship
at the time the application was made.
(3) Article 10(2)(b)
of the Law shall not, in the context of any matter related to an application
for a licence referred to in paragraph (1), apply to a person’s role
in, or relationship to, an applicant for or a holder of such a licence.
(4) Article 7
of the Law shall not apply to any proceedings in respect of the refusal of, or
the imposition of conditions attached to, a licence referred to in paragraph (1).
14 Security
of Jersey
(1) Article 10(1)
of the Law shall not apply when a question is asked by or on behalf of an
officer mentioned in Article 36A(6) of the States of Jersey Law 1966
in order to assess, for the purposes of safeguarding the security of Jersey,
the suitability of the person to whom the question relates for any office or
employment, where the person questioned is informed, at the time the question
is asked, that, by virtue of these Regulations, spent convictions are to be
disclosed for the purpose of safeguarding the security of Jersey.
(2) Article 10(2)(b)
of the Law shall not apply to any exclusion or dismissal, for the purpose of
safeguarding the security of Jersey, from an office or employment to which paragraph (1)
applies.
15 International
co-operation
Article 10(1) of the
Law shall not apply where a question is put to the Attorney General or the
States of Jersey Police Force by –
(a) the
Attorney General, or person of comparable office, of another place or
territory; or
(b) a
police force or other law enforcement agency of another place or territory.
15A Immigration and
nationality[13]
(1) Article 7
and Article 10(1) and (2) of the Law shall not apply –
(a) in relation to any proceedings in respect of
an immigration decision or a nationality decision; or
(b) otherwise for the purposes of, or in
connection with, any such decision.
(2) In
this Regulation –
“immigration
decision” means any decision, or proposed decision, of the
Lieutenant-Governor, an immigration officer or the Minister for Justice and
Home Affairs under –
(a) the Immigration Act 1971 (c. 77)
(the “1971 Act”) and the Immigration Act 1988
(c. 14) as extended to Jersey by the Immigration (Jersey) Order 1993
(the “1993 Order”);
(b) the Asylum and Immigration Act 1996
(c. 49) as extended to Jersey by the Asylum and Immigration Act 1996
(Jersey) Order 1998;
(c) the Immigration and Asylum Act 1999
(c. 33) as extended to Jersey by the Immigration and Asylum Act 1999
(Jersey) Order 2003;
(d) the Immigration, Asylum and Nationality
Act 2006 (c. 13) as extended to Jersey by the Immigration (Jersey)
Order 2012;
(e) any Regulations or Orders made under Article 2
of the European Communities Legislation (Implementation) (Jersey) Law 1996
(the “1996 Law”) relating to immigration control;
(f) any Community provision within the
meaning of the 1996 Law, that is directly applicable to Jersey and relates
to immigration control; or
(g) any immigration rules or directions made
under any enactment or provision listed under sub-paragraphs (a)
to (f),
in relation to the
entitlement of a person to enter or remain in Jersey (including, in particular,
the granting of a work permit, or the removal of a person from Jersey, whether
by deportation or otherwise);
“nationality
decision” means any decision, or proposed decision of the
Lieutenant-Governor under, or by virtue of the following Acts of the United
Kingdom (as amended), namely –
(a) the British Nationality Act 1981
(c. 61);
(b) the British Nationality (Hong Kong)
Act 1990 (c. 34); or
(c) the Hong Kong (War Wives and Widows)
Act 1996 (c. 41),
in relation to the good
character of a person; and
“immigration officer”
means a person appointed as an immigration officer under paragraph 1 of
Schedule 2 to the 1971 Act as extended to Jersey by the 1993 Order.[14]
Contact with children and other vulnerable persons
16 Adopters
and foster parents[15]
Article 10(1) of the
Law shall not apply when a question is asked by or on behalf of a person
employed by the Adoption Service established by Article 2 of the Adoption
(Jersey) Law 1961 or by any of the approved adoption societies
described in paragraph (4) of that Article or by or on behalf of an
officer in an administration for which the Minister for Children and Families
is assigned responsibility[16], for the purpose of assessing the suitability of any person to
adopt or foster children in general or a child in particular,
where –
(a) the
question relates to the person whose suitability is being assessed; or
(b) the
question relates to a person living in the same household as the person whose
suitability is being assessed.
17 Work
with children
(1) This
Article applies to the following descriptions of work with
children –
(a) a position whose normal duties include work
in –
(i) an institution
which is exclusively or mainly for the detention of children,
(ii) a
hospital or nursing home which is exclusively or mainly for children,
(iii) a
school which is exclusively or mainly for the education of children, or
(iv) a
home consisting of a care home service within the meaning of paragraph 4 of Schedule 1 to
the Regulation
of Care (Jersey) Law 2014 (the “2014 Law”) which
provides services to children as well as individuals who have attained the age
of 18,
(v) a home care service within
the meaning of paragraph 5 of Schedule 1 to the 2014 Law which
provides services to children as well as individuals who have attained the age
of 18, or
(vi) to
the extent not already covered by clauses (i) to
(v), any service regulated under Part 3 of Schedule 1 to the 2014 Law;
(b) a position whose normal duties include work
on premises required to be registered as day care accommodation under
the Day Care of
Children (Jersey) Law 2002, disregarding
any work which is done –
(i) on a part of the
premises in which children are not looked after, or
(ii) at
times when children are not looked after;
(c) a position whose normal duties include
caring for, training, supervising or being in charge of children, otherwise
than in the course of the children’s employment;
(d) a position whose normal duties involve
contact with children otherwise than in the course of the children’s
employment and in the absence of a person who holds a position described in sub-paragraph (c)
or of any of the following persons –
(i) the child’s
parent or guardian or any adult with whom the child lives,
(ii) the
person in charge of any establishment mentioned in sub-paragraph (a) in
which the child is accommodated, is a patient or receives education, or any person
acting on behalf of such a person,
(iii) a
person whose premises are registered as day care accommodation under the Day Care of
Children (Jersey) Law 2002,
(iv) a
person who is registered as a day carer under that Law,
(v) any
person holding a position mentioned in sub-paragraph (f);
(e) a position whose normal duties include
caring for children under the age of 16 in the course of the
children’s employment;
(f) work in an institution
providing –
(i) full and part-time
education suitable to the requirements of persons over compulsory school age
(including vocational, social, physical and recreational training), and
(ii) organized
leisure time in connection with the provision of such education,
where the normal duties
of that work involve regular contact with children;
(g) a position of line manager, being a position whose normal duties include –
(i) supervising the
day-to-day performance of an individual’s duties in his or her work in a
position mentioned in sub-paragraphs (a) to (f),
(ii) being
the person to whom an individual, in his or her work in a position mentioned in
sub-paragraphs (a) to (f), is directly responsible for the performance of
his or her duties in that work, or
(iii) having
authority to dismiss an individual from his or her work in a position mentioned
in sub-paragraphs (a) to (f);
(h) trustee of a children’s charity;
(i) member of the
governing body of a school;
(j) chief officer of an administration of
the States for which the Minister for Education and Lifelong Learning is
assigned responsibility[17];
(k) chief officer of an administration of the
States for which the Minister for Health and Social Services or Minister for
Children and Families is assigned responsibility or director of such an
administration providing services for children[18].[19]
(2) For
the purposes of paragraph (1)(h) –
(a) a charity is a children’s charity if
the individuals who are workers for the charity normally include individuals
working in any position mentioned in paragraph (1)(a) to (f);
(b) an individual is a worker for a charity if he
or she does work under arrangements made by the charity which are wholly or
mainly for the purposes for which the charity is established.
(3) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of a person for any work with children where –
(a) the question relates to the person whose
suitability is being assessed;
(b) the person whose suitability is being
assessed lives on the premises where his or her work with children would take
place and the question relates to a person living in the same household as him
or her;
(c) the person whose suitability is being
assessed lives on the premises where his or her work with children would
normally take place and the question relates to a person who regularly works on
those premises at a time when the work with children usually takes place; or
(d) the work for which the person’s
suitability is being assessed is work as a day carer under the Day Care of
Children (Jersey) Law 2002, which would normally take place on
premises other than premises where that person lives and the question relates
to a person who lives on those other premises or to a person who regularly
works on them at a time when the day care takes place.[20]
(4) Article 10(2)(b)
of the Law shall not apply to any work with children.
(5) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) to have premises registered as day care
accommodation under the Day Care of
Children (Jersey) Law 2002; or
(b) to be registered as a day carer under that
Law.[21]
(6) Article 10(1)
of the Law shall not apply when a question is asked in order to assess, for the
purposes of the determination of an application for registration of a
non-provided school pursuant to Article 40 of the Education
(Jersey) Law 1999, the suitability of a person to be the proprietor of
or a teacher in a non-provided school.
(7) Article 7
of the Law shall not apply to any proceedings arising from any determination
regarding the suitability of a person for any purpose described in paragraph (5)
or (6).
(8) Article 10(1)
of the Law shall not apply where a question is asked in order to assess the
suitability of a person to enrol in any course of education which includes a
work placement in a position falling within paragraph (1)(c).
18 Work
with vulnerable persons
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) for any employment or work which is
concerned with the provision of social services and of such a kind as to enable
the employee or person engaged in that work to have access to any of the
following classes of persons in the course of his or her normal duties,
namely –
(i) persons over the
age of 65,
(ii) persons
suffering from serious mental illness or mental disorder of any description,
(iii) persons
addicted to alcohol or drugs,
(iv) persons
who are blind, deaf or dumb, or
(v) other
persons who are substantially and permanently disabled by illness, injury or
congenital condition;
(b) for any employment or work which is
concerned with the provision of health services and of such a kind as to enable
the employee or person engaged in that work to have access to persons in
receipt of such services in the course of the employee or person’s normal
duties;
(c) for any occupation which is concerned with
the management or carrying on of a nursing home;
(d) for appointment –
(i) as a delegate
under Part 4 of the Capacity and
Self-Determination (Jersey) Law 2016, or
(ii) as
a nearest person under Part 2 of the Mental Health (Jersey)
Law 2016;
(e) to exercise authority conferred by a lasting
power of attorney under Part 2 of the Capacity and
Self-Determination (Jersey) Law 2016;[22]
(2) Article 10(1)
of the Law shall not apply when a question is asked by or on behalf of any person
in order to assess the suitability of the person to whom the question relates
for registration under the Nursing Homes
(Jersey) Law 1994 or the Regulation of
Care (Jersey) Law 2014.[23]
(3) Article 10(2)(b)
of the Law shall not apply to any employment, work, occupation or appointment
mentioned in paragraph (1).
(4) Article 7
of the Law shall not apply to any proceedings in respect of any determination
regarding the suitability of a person for registration under the Nursing Homes
(Jersey) Law 1994 or the Regulation of
Care (Jersey) Law 2014.[24]
Financial services
19 Jersey
Financial Services Commission
(1) Article 10(1)
of the Law shall not apply when a question is asked in order to assess the
suitability of the person to whom the question relates –
(a) for appointment as a Commissioner of the
Commission, pursuant to Article 3 of the Financial
Services Commission (Jersey) Law 1998;
(b) for appointment as an officer, servant or
agent of the Commission, pursuant to Article 10 of that Law.
(2) Article 10(2)(b)
of the Law shall not apply to any appointment mentioned in paragraph (1).
20 Supervision
of financial services by Commission
(1) In
this Regulation and Regulation 21 –
“1988 Law”
means the Collective
Investment Funds (Jersey) Law 1988;
“1991 Law”
means the Banking
Business (Jersey) Law 1991;
“1996 Law”
means the Insurance
Business (Jersey) Law 1996;
“1998 Law”
means the Financial
Services (Jersey) Law 1998;
“2008 Law”
means the Proceeds
of Crime (Supervisory Bodies) (Jersey) Law 2008;
“finance employee”
means an employee whose duties include having control of property of any
description and “employee” includes a person whether employed under
a contract of service or a contract for services;
“senior
officer” means a person appointed as such in connection with Article 11
of the Banking
Business (General Provisions) (Jersey) Order 2002.[25]
(2) In
this Regulation –
(a) the expressions “functionary”, “fund
service provider”, “relevant supervisory authority”, “relevant
overseas supervisory authority”, “supervisory body” or “supervisor
of a securities market”, when used in relation to any of the Laws listed
in paragraph (1), shall have the meaning given in that Law;
(b) a reference to a person as being associated
with a person for the purposes of the latter person’s business, when used
in relation to any of the Laws listed in paragraph (1), shall have the
meaning given in that Law; and
(c) “relevant person” means a person
who has applied for, or been granted level 1 registration under Article 14
of the 2008 Law.[26]
(3) In
this Regulation and Regulation 21 the expressions “chief executive”,
“controller”, “director”, “key person”, “manager”,
“principal person”, and “shareholder controller” when
used in relation to any of the Laws listed in paragraph (1), shall have
the meaning given in that Law.[27]
(4) For
the purposes of this Regulation and Regulation 21, a person is a
prospective –
(a) actuary;
(b) chief executive;
(c) controller;
(d) director;
(e) finance employee;
(f) key person;
(g) manager;
(h) principal person;
(i) senior officer;
or
(j) shareholder controller,
if the person is proposed
as, or is seeking or intending to become or is about to become, the holder of
such a position.[28]
(5) Article 7
of the Law shall not apply to a spent conviction for a relevant offence in any
proceedings under –
(a) Article 8E, 8F, 12D, 17C, 24, 34 and 34A
of the 1988 Law;
(b) Article 17, 18, 18A, 19, 30, 35, 36,
37A, 37B, 48C and 48D of the 1991 Law;
(c) Article 8A, 9, 9A, 13, 24, 27, 36A, 36B
and 43C of the 1996 Law;
(d) Article 11, 12, 13, 16, 23, 24, 25C, 26
and 34 of the 1998 Law; or
(e) Article 19, 23, 24, 25, 29 and 32 of
the 2008 Law.[29]
(6) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of the Commission in the discharge of its
functions under the 1988 Law, in respect of –
(a) a holder of or applicant for a permit or
certificate under that Law;
(b) a key person, or prospective key person, in
relation to a person to whom sub-paragraph (a) refers;
(c) a principal person, or prospective principal
person, in relation to a person to whom sub-paragraph (a) refers;
(d) a finance employee, or prospective finance
employee, of a person to whom sub-paragraph (a) refers;
(e) any other functionary or fund service
provider of the collective investment fund to which the application,
certificate or permit (as the case may be) relates; or
(f) any person who is associated with a
person to whom sub-paragraph (a) refers for the purposes of the latter
person’s business.[30]
(7) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of the Commission in the discharge of its
functions under the 1991 Law, in respect of –
(a) a person who is registered under, or has
applied for registration under that Law;
(b) a controller, director, finance employee,
key person, manager or senior officer of a person to whom sub-paragraph (a)
refers;
(c) a prospective controller, director, finance
employee, key person, manager or senior officer of a person to whom sub-paragraph (a)
refers; or
(d) any person who is associated with a person
to whom sub-paragraph (a) refers for the purposes of the latter
person’s business.[31]
(8) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of the Commission in the discharge of its
functions under the 1996 Law, in respect of –
(a) a holder of or applicant for a permit under
that Law;
(b) an actuary, a chief executive, director,
finance employee, key person or shareholder controller of a person to whom sub-paragraph (a)
refers;
(c) a prospective actuary, chief executive, director,
finance employee, key person or shareholder controller of a person to whom sub-paragraph (a)
refers; or
(d) any person who is associated with a person
to whom sub-paragraph (a) refers for the purposes of the latter
person’s business.[32]
(9) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of the Commission in the discharge of its
functions under the 1998 Law, in respect of –
(a) a person who is registered under, or has
applied for registration under that Law;
(b) a key person, or prospective key person, in
relation to a person to whom sub-paragraph (a) refers;
(c) a principal person, or prospective principal
person, in relation to a person to whom sub-paragraph (a) refers;
(d) a finance employee, or prospective finance
employee, of a person to whom sub-paragraph (a) refers; or
(e) any person who is associated with a person
to whom sub-paragraph (a) refers for the purposes of the latter
person’s business.[33]
(10) Article 10(1) of the Law shall not apply to a
spent conviction for a relevant offence when a question is put by or on behalf
of the Commission, or a supervisory body, in the discharge of their functions
under the 2008 Law, in respect of –
(a) a relevant person;
(b) a key person or prospective key person, in
relation to a relevant person;
(c) a
principal person or prospective principal person, in
relation to a relevant person;
(d) a finance employee, or prospective finance
employee, of a relevant person; or
(e) any person who is associated with a relevant
person for the purposes of the relevant person’s business.[34]
(11) Article 10(2)(a) of the Law shall not apply
to a spent conviction for a relevant offence, or to any circumstances
ancillary to such a conviction, in relation to any obligation to disclose
matters to the Commission under the 1988 Law, in respect of –
(a) a holder of or applicant for a permit or
certificate under that Law;
(b) a key person, or prospective key person, in
relation to a person to whom sub-paragraph (a) refers;
(c) a principal person, or prospective principal
person, in relation to a person to whom sub-paragraph (a) refers;
(d) a finance employee, or prospective finance
employee, of a person to whom sub-paragraph (a) refers;
(e) any other functionary or fund service
provider of the collective investment fund to which the application,
certificate or permit (as the case may be) relates; or
(f) any person who is associated with a
person to whom sub-paragraph (a) refers for the purposes of the latter
person’s business.[35]
(12) Article 10(2)(a) of the Law shall not apply
to a spent conviction for a relevant offence, or to any circumstances
ancillary to such a conviction, in relation to any obligation to disclose
matters to the Commission under the 1991 Law, in respect of –
(a) a person who is registered under, or has
applied for registration under that Law;
(b) a controller, director, finance employee,
key person, manager or senior officer of a person to whom sub-paragraph (a)
refers;
(c) a prospective controller, director, finance
employee, key person, manager or senior officer of a person to whom sub-paragraph (a)
refers; or
(d) any person who is associated with a person
to whom sub-paragraph (a) refers for the purposes of the latter
person’s business.[36]
(13) Article 10(2)(a) of the Law shall not apply
to a spent conviction for a relevant offence, or any circumstances ancillary to
such a conviction, in relation to any obligation to disclose matters to the
Commission under the 1996 Law, in respect of –
(a) a holder of, or applicant for a permit under
that Law;
(b) an actuary, a chief executive, director,
finance employee, key person or shareholder controller of a person to whom sub-paragraph (a)
refers;
(c) a prospective actuary, chief executive,
director, finance employee, key person or shareholder controller of a person to
whom sub-paragraph (a) refers; or
(d) any person who is associated with a person
to whom sub-paragraph (a) refers for the purposes of the latter
person’s business.[37]
(14) Article 10(2)(a) of the Law shall not apply
to a spent conviction for a relevant offence, or to any circumstances
ancillary to such a conviction, in relation to any obligation to disclose
matters to the Commission under the 1998 Law, in respect of –
(a) a person who is registered under, or has
applied for registration under that Law;
(b) a key person, or prospective key person, in
relation to a person to whom sub-paragraph (a) refers;
(c) a principal person, or prospective principal
person, in relation to a person to whom sub-paragraph (a) refers;
(d) a finance employee, or prospective finance
employee, of a person to whom sub-paragraph (a) refers; or
(e) any person who is associated with a person
to whom sub-paragraph (a) refers for the purposes of the latter
person’s business.[38]
(15) Article 10(2)(a) of the Law shall not apply
to a spent conviction for a relevant offence, or to any circumstances
ancillary to such a conviction, in relation to any obligation to disclose such
matters to the Commission or a supervisory body under the 2008 Law, in
respect of –
(a) a relevant person;
(b) a key person or prospective key person, in
relation to a relevant person;
(c) a
principal person or prospective principal person, in
relation to a relevant person;
(d) a finance employee, or prospective finance
employee of a relevant person; or
(e) any person who is associated with a relevant
person for the purposes of the relevant person’s business.[39]
(16) Article 10(2)(b) of the Law shall not apply
in relation to a spent conviction for a relevant offence, to any decision or
proposed decision, or act of –
(a) the Commission in the discharge of its
functions under any of the Laws listed in paragraph (1); or
(b) a supervisory body in the discharge of its
functions under the 2008 Law.[40]
(17) Article 11(1) of the Law shall not apply to
the disclosure of specified information by –
(a) the Commission in the discharge of any power
of co-operation with a relevant supervisory authority (including a relevant
overseas supervisory authority), or a supervisor of a securities market under
any of the Laws listed in paragraph (1); or
(b) a supervisory body in the discharge of any
power of co-operation with a relevant overseas supervisory authority under the
2008 Law,
to such an authority or
supervisor of any spent conviction for a relevant offence, disclosed to the
Commission or a supervisory body in the course of their official duties.[41]
21 Work
in supervised financial services[42]
(1) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of –
(a) a holder of a permit or certificate under
the 1988 Law; or
(b) a person who has applied, or intends to
apply for a permit or a certificate under the 1988 Law,
and relates to an
individual to whom paragraph (2) refers.
(2) This
paragraph refers to –
(a) a key person, or prospective key person, in
relation to the person by whom or on whose behalf the question is put;
(b) a principal person, or prospective principal
person, in relation to the person by whom or on whose behalf the question is
put;
(c) a finance employee, or prospective finance
employee, of the person by whom or on whose behalf the question is put.
(3) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of –
(a) a person registered under the 1991 Law;
or
(b) a person who has applied, or intends to
apply for registration under that Law,
and relates to an
individual to whom paragraph (4) refers.
(4) This
paragraph refers to –
(a) a controller, director, finance employee,
key person, manager or senior officer of the person by whom or on whose behalf
the question is put;
(b) a prospective controller, director, finance
employee, key person, manager or senior officer of the person by whom or on
whose behalf the question is put.
(5) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of –
(a) the holder of a permit under the
1996 Law; or
(b) a person who has applied, or intends to
apply for a permit under the 1996 Law,
and relates to a person to
whom paragraph (6) refers.
(6) This
paragraph refers to –
(a) an actuary, a chief executive, director,
finance employee, key person, or shareholder controller of the person by whom
or on whose behalf the question is put;
(b) a prospective actuary, chief executive,
director, finance employee, key person, or shareholder controller of the person
by whom or on whose behalf the question is put.
(7) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of –
(a) a person who is registered under the
1998 Law; or
(b) a person who has applied, or intends to
apply for registration under the 1998 Law,
and relates to an individual
to whom paragraph (8) refers.
(8) This
paragraph refers to –
(a) a finance employee, or prospective finance
employee, of the person by whom or on whose behalf the question is put;
(b) a key person, or principal person, in
relation to the person by whom or on whose behalf the question is put;
(c) a prospective key person, or principal
person, in relation to the person by whom or on whose behalf the question is
put.
(9) Article 10(1)
of the Law shall not apply to a spent conviction for a relevant offence when a
question is put by or on behalf of a relevant person, being a person
who –
(a) has been granted level 1 registration
under Article 14 of the 2008 Law; or
(b) has applied or intends to apply for
level 1 registration under Article 14 of the 2008 Law,
and relates to an
individual to whom paragraph (10) refers.
(10) This paragraph refers to –
(a) a finance employee, or prospective finance
employee, of the person by whom or on whose behalf the question is put;
(b) a key person or principal person, in
relation to the person by whom or on whose behalf the question is put;
(c) a prospective key person, or principal
person, in relation to the person by whom or on whose behalf the question is
put.
(11) Article 10(2)(b) of the Law shall not apply,
in relation to a spent conviction for a relevant offence, to –
(a) the dismissal or exclusion of an individual
from being or becoming a key person, or principal person in relation to a
person mentioned in paragraph (1)(a) or (b);
(b) the dismissal or exclusion of an individual
from being or becoming a finance employee of a person mentioned in paragraph (1)(a)
or (b);
(c) the dismissal or exclusion of an individual
from being or becoming a controller, director, finance employee, key person,
manager or senior officer of a person mentioned in paragraph (3)(a) or
(b);
(d) the dismissal or exclusion of an individual
from being or becoming an actuary, a chief executive, director, finance
employee, key person or shareholder controller of a person mentioned in
paragraph (5)(a) or (b);
(e) the dismissal or exclusion of an individual
from being or becoming a key person or principal person in relation to a person
mentioned in paragraph (7)(a) or (b);
(f) the dismissal or exclusion of an
individual from being or becoming a finance employee of a person mentioned in
paragraph (7)(a) or (b);
(g) the dismissal or exclusion of an individual
from being or becoming a key person, or principal person in relation to a
person mentioned in paragraph (9);
(h) the dismissal or exclusion of an individual
from being or becoming a finance employee of a person mentioned in paragraph (9).
General provisions
22 General
rule for information held in the course of official duties
Article 11(1) of the Law shall not apply where a person who, in the course of his or her
official duties has, or at any time has had, custody of or access to any
official record or the information contained in it –
(a) discloses
any specified information derived from the record; and
(b) the
disclosure is made in the course of that person’s duties.
23 Proceedings
before Mental Health Review Tribunal
Article 7 of the Law
shall not apply to proceedings under the Mental Health
(Jersey) Law 2016 before the Mental Health
Review Tribunal.[43]
24 General
rule for proceedings
Article 7 of the Law shall not apply to
proceedings –
(a) by
way of appeal against or review of any decision taken, by virtue of any
provision of these Regulations, on consideration of a spent conviction; or
(b) held
for the receipt of evidence affecting the determination of any question arising
in proceedings specified in these Regulations.
Closing provision
25 Citation
These Regulations may be cited as the Rehabilitation of Offenders
(Exceptions) (Jersey) Regulations 2002.