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BS 8453:2011

Current
Current

The latest, up-to-date edition.

Compliance framework for regulated financial services firms. Specification
Available format(s)

Hardcopy , PDF

Language(s)

English

Published date

02-28-2011

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.

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).

Committee
SVS/6/2
DevelopmentNote
Supersedes 10/30210204 DC. (02/2011)
DocumentType
Standard
Pages
22
PublisherName
British Standards Institution
Status
Current
Supersedes

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

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