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BS 9222:2007

BS 9222:2007

$142.49

Personal financial planning. Guidance on the application of BS ISO 22222 and assessment of compliance

Published By Publication Date Number of Pages
BSI 2007 32
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This British Standard provides guidance on the application of BS ISO 22222 to the provision of a personal financial planning service with particular relevance during preparation for independent third-party assessment. This standard also makes recommendation as to the most appropriate methods of assessment of the procedures, ethical behaviour, competences and experience of individual financial planners including the extent to which academic or vocational qualification should be taken into account.

Attention is drawn to the fact that BS ISO 22222 is applicable to all personal financial planners regardless of their employment status and that this British Standard therefore has the same breadth of application.

Because BS 9222 has been drafted for use in parallel with BS ISO 22222, this standard contains only summary of the requirements of BS ISO 22222 for the purpose of establishing unambiguous relationship between the requirements and related application/assessment guidance.

PDF Catalog

PDF Pages PDF Title
3 Contents
Introduction 1
1 Scope 3
2 Normative references 3
3 Terms and definitions 3
4 Assessment process 4
5 Ethics 5
6 Competence 7
7 Experience 10
8 Claiming conformity 10
Annexes
Annex A (normative) Specific requirements for competence of a personal financial planner with assessment and qualification notes 11
Annex B (informative) Example of a code of ethics appropriate to a personal financial planner 25
Annex C (informative) Example of a staged personal financial planning process 26
List of tables
Table A.1 – Key to assessment method codes used in Table A.2 11
Table A.2 – Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 12
4 Foreword
5 Introduction
7 1 Scope
2 Normative references
3 Terms and definitions
8 4 Assessment process
4.1 Summary of content – BS ISO 22222, 4.1
4.2 Evidential review – BS ISO 22222, Clause 4
4.2.1 General procedure
4.2.2 Specification
4.2.2.1 Specification to BS ISO 22222, 4.2
9 4.2.2.2 Specification to BS ISO 22222, 4.3
4.2.2.3 Assessment to BS ISO 22222, 4.6
5 Ethics
5.1 Summary of content – BS ISO 22222, 5.1
10 5.2 Evidential review relating to BS ISO 22222, Clause 5
5.2.1 General procedure
5.2.2 Specification
11 6 Competence
6.1 Summary of content – BS ISO 22222, Clause 6
6.1.1 Summary of content – BS ISO 22222, 6.1
6.1.2 Summary of content – BS ISO 22222, 6.2
a) written examination;
b) multiple-choice examination;
c) portfolio of evidence, which may include some or all of:
2) random examination of complete files of current clients;
12 3) case studies;
4) oral assessment;
5) client satisfaction survey;
6) work-based assessment; and
7) scripted-answer examinations.
6.1.3 Summary of content – BS ISO 22222, 6.3
6.1.4 Summary of content – BS ISO 22222, 6.4
6.2 Evidential review relating to BS ISO 22222, Clause 6
6.2.1 General procedure
6.2.2 Specific action
13 6.2.3 Continuing competence
14 7 Experience
7.1 Summary of content – BS ISO 22222, Clause 7
7.2 Evidential review relating to BS ISO 22222, Clause 7
8 Claiming conformity
8.1 Summary of content – BS ISO 22222, Clause 8
8.2 Evidential review relating to BS ISO 22222, Clause 8
15 Annex A (normative) Specific requirements for competence of a personal financial planner with assessment and qualification notes
A.1 General
Table A.1 Key to assessment method codes used in Table A.2
16 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1
17 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
18 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
19 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
20 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
21 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
22 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
23 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
24 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
25 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
26 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
27 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
28 Table A.2 Specific requirements for competence of a personal financial planner with assessment and qualification notes, from BS ISO 22222, Table 1 (continued)
29 Annex B (informative) Example of a code of ethics appropriate to a personal financial planner
B.1 Introduction
B.2 Code of ethics
30 Annex C (informative) Example of a staged personal financial planning process

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