BS 8453:2011
Current
The latest, up-to-date edition.
Compliance framework for regulated financial services firms. Specification
Hardcopy , PDF
English
02-28-2011
Important note : All end users must be registered with an Account prior to user licenses being assigned.
Foreword
1 Scope
2 Normative references
3 Terms and definitions
4 Guiding principles
5 The compliance framework
Bibliography
Describes overarching policies, procedures and methods for operating a compliance framework within a regulated financial services firm.
| Committee |
W/-
|
| DevelopmentNote |
Supersedes 10/30210204 DC. (02/2011)
|
| DocumentType |
Standard
|
| Pages |
22
|
| PublisherName |
British Standards Institution
|
| Status |
Current
|
| Supersedes |
This British Standard specifies overarching policies, procedures and methods for operating a compliance framework (see Clause4) within a regulated financial services firm.
This standard sets out a methodology for implementing and managing the compliance framework at both group and line level.
The extent to which the requirements of this standard are applicable to an individual firm depends on the nature, size and complexity of the firm’s business.
NOTE Firms may implement this standard in a way that is relevant, appropriate and proportionate to their business model.
The standard does not specify requirements for risk management, data protection (covered in BIP 0012 and BS10012), complaints handling (covered in BSISO10002), or inclusive service provision (covered in BS18477).
| BS 8577:2012 | Framework for the provision of financial advice and planning services. Specification |
| 12/30248292 DC : 0 | BS 8577 - FRAMEWORK FOR THE PROVISION OF FINANCIAL ADVICE AND PLANNING SERVICES - SPECIFICATION |
| BIP 0012 : 2007 | DATA PROTECTION UPDATE GUIDE (BIP 0012 PARTS 1-3) |
| BS ISO 22222:2005 | Personal financial planning. Requirements for personal financial planners |
| BS ISO 10002:2014 | Quality management. Customer satisfaction. Guidelines for complaints handling in organizations |
| BS 18477:2010 | Inclusive service provision. Requirements for identifying and responding to consumer vulnerability |
| BS 10012:2009 | Data protection. Specification for a personal information management system |
Access your standards online with a subscription
Features
-
Simple online access to standards, technical information and regulations.
-
Critical updates of standards and customisable alerts and notifications.
-
Multi-user online standards collection: secure, flexible and cost effective.