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IFA 2 is authorised by the JFSC for the provision of investment business and trust company business as defined in the FS(J)L.Ģ.3 In July 2017, IFA 1 received a complaint from a client in relation to Mr Roberts’ conduct as an investment adviser. IFA 1 is authorised by the JFSC for the provision of investment business as defined in the FS(J)L.Ģ.2 Following Mr Roberts’ resignation from IFA 1, he joined another registered person (IFA 2) as an investment adviser, a role he performed between June 2017 and 10 November 2017. As a consequence of holding the Executive Director and Shareholder Controller roles, Mr Roberts was a Principal Person as defined in the FS(J)L. 2 BackgroundĢ.1 Mr Roberts was an Executive Director and investment employee (financial adviser) of a registered person (IFA 1) from 2005 until his resignation on 16 June 2017 and a shareholder controller of IFA 1, from 2007 to 30 October 2017.
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How To Charles 3.5.Public Statement Mr Vincent Charles Roberts (Mr Roberts) Date of birth: 24 June 1965 Former Principal Person and Investment Employee 1ġ As defined in the Investment Business Fees Noticeįinancial Services (Jersey) Law 1998, as amended (FS(J)L) 1 Actionġ.1 The Jersey Financial Services Commission (JFSC) issues this public statement pursuant to Article 25(a) of the FS(J)L with respect to directions issued to Mr Roberts under Article 23 of the FS(J)L.ġ.2 The JFSC’s actions support its objectives of reducing the risk to the public of financial loss and protecting and enhancing the reputation and integrity of Jersey in commercial and financial matters. Unless you agree otherwise, arbitration proceedings in your county main residence or in Santa Clara County, California, or the action for minor claims must be submitted.
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