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BS 8577-2012 pdf free download
BS 8577-2012 pdf free download.Framework for the provision of financial advice and planning servIces Specification.
a) the processes needed for the operational framework and its application throughout the organization, which shall include, but need not be limited to:
1) the scope of the operational framework, including details of and justification for any exclusions, e.g. money advice and general insurance;
2) a description of the regulatory framework in which the organization operates;
3) the management structure, which designates the responsibilities of individuals and their accountability;
4) documented objectives, policies and procedures adopted within the organization;
b) the sequence and interaction of these processes;
C) the criteria and methods necessary to ensure that the operation and control of these processes is effective;
d) the availability of resources and information necessary to support the operation and monitoring of these processes;
e) the analysis and measurement of the effectiveness of these processes; and
f) the implementation of actions necessary to achieve planned results and continual improvement of these processes.
8.2 Regulatory compliance
Where an organization operates within a regulated environment and recognized redress system, it shall have relevant processes and procedures in place (including documented procedures in order to respond to and resolve all customer complaints and claims) to enable the organization to meet its regulatory requirements.
NOTE For further guidance, see 85 8453.
Where an organization chooses to outsource any process that affects compliance with the requirements of this British Standard, e.g. third party investment management, the organization shall ensure control and retain responsibility over such processes. The type and extent of control applied to these outsourced processes shall be fit for purpose and defined within the operational framework.
NOTE Outsourcing does not absolve the organization of the responsibiiity for compliance with all consumers, statutory and regulatory requirements.
9 Control of documents and records
The organization shall establish a documented procedure to define the controls required for the creation, identification, storage, protection, retrieval, retention and disposition of documents and records, and for them to remain legible, readily identifiable and retrievable.
The organization shall ensure that documents are understandable, effective, up to date and relevant for use.
10 Recruitment, training, development and ongoing competence
The organization shall have plans and procedures in place to recruit, retain and develop personnel to support the delivery of their financial advice and planning services.
In particular, the procedures shall address:
1) identifying vacancies;
2) identifying competencies, skills and expertise required;
NOTE See 85 ISO 22222 for guidance on financial advice and planning services.
3) using internal or external sourcing and selection methods relevant to the roles; and.BS 8577-2012 pdf free download.
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