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  • BSI
    BS 8453:2011 Compliance framework for regulated financial services firms. Specification
    Edition: 2011
    $313.97
    / user per year

Description of BS 8453:2011 2011

This British Standard specifies overarching policies, procedures and methods for operating a compliance framework (see Clause 4) 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 BS 10012), complaints handling (covered in BS ISO 10002), or inclusive service provision (covered in BS 18477).



Standard NumberBS 8453:2011
TitleCompliance framework for regulated financial services firms. Specification
StatusConfirmed
Publication Date2011-02-28
DescriptorsReports, Banks, Management, Financial institutions, Investment, Personnel, Enterprises, Government, Documents, Conformity, Finance, Training
ICS03.100.60 Accountancy, 03.060 Finances. Banking. Monetary systems. Insurance
CommitteeW/-
ISBN978 0 580 69207 9
PublisherBSI
Pages22

About BSI

BSI Group, also known as the British Standards Institution is the national standards body of the United Kingdom. BSI produces technical standards on a wide range of products and services and also supplies certification and standards-related services to businesses.
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