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BS ISO 22222 Personal Financial Planner Certification Application Form

Applicant details

Mr/Mrs/Miss/Ms Forenames Address Postcode E-mail Employername andaddress Postcode Country Surname

Country

Please provide details of any special consideration which you believe you will be entitled to during this process e.g. in line with the Disability Discrimination Act.

Summary of your current role and the financial planning advice you are providing. Youshouldincludedetailsrelatingtoyourprovisionoftaxplanning,estateplanning,investmentadvice,retirementadviceandidentifyingfinancialgoals andobjectives.Youshouldshowhowyouincorporateyourexpertiseintheseareastodevelopandmanageaholisticfinancialplanforyourclients.

Applicant evidence

Client files

Aspartofthecertificationreviewaselectionofyourclientfileswillbereviewedandyouwillbeaskedfurtherquestionsaspartoftheassessment. Thefilesshouldbeyourownworkandcompletedwithinthelastsixmonths. Atthisstageyoushouldprovidetheclientreferencesforall client files completed in the last 12 monthsandlistthemagainstthefollowingcategories ofadvice(pleaseattachadditionalinformationwherenecessary).Youwillbeadvisedwhichfilesaretobereviewedonthedayofyourassessmentso youshouldensureyourfilesareeasilyaccessible.TheCIIisaregistereddatahandlerundertheDPA;applicantsarerequiredtoensurethattheirDPA registrationpermitsdisclosureofinformationtotheCII­see note one. Advice Protection Client reference Keys areas recommended CII use

Investments

Pension

EstatePlanning

Examples: Estate planning Pension Smith A Jones P Discounted Gift Scheme; will planning SSIP/property purchase

Please attach the following information Contractofservices,forexampletermsofbusinessletters,scopingdocuments­note two CopyofyourCVoremploymenthistory­note three CopyoftheCodeofEthicsyouadhereto,forexampleCII,PFS,ACCA,CFA,IFP­note four Copyofyourcontinuousprofessionaldevelopmentrecordsfromthelastthreeyears­note five (appendix one) Copyofyourrelevant(financialservices)qualificationcertificates­note six CopyofyourKPIsforthelastthreeyears­note seven Please provide details of professional body membership, including title, head office location and web address: Professional Body Membership details

Please tick

Please provide evidence of any external validation of your advice process Forexample,localregulatoryinspections,internalcompliancecheckingproceduresorprofessionalexaminationsuccess.Whenusingexaminationevidence, pleaseprovidethenameandaddressdetailsoftheexaminingbody.

Applicant declaration

Please attach the following: Copyofyourcertifiedidentificatione.g.passport­note eight Certificationfeeenclosed TheCertificationperiodisfiveyearsandissubjecttoannualsurveillance.Anannualsurveillancefeeisapplicable. PleasecontactCIICustomerServicesforlatestfeeinformation.www.cii.co.uk/accreditation Itheundersignedapplicantconfirmthatallevidencesubmittedandpermissionsgrantedaretrueandvalid.ByvirtueofsubmittingtheapplicationIpermit theCharteredInsuranceInstitutetoinvestigatethenecessaryinformationinordertoconfirmthatImeettheBSISO22222certificationstandard. IagreetocomplywithacodeofethicswhichmeetstherequirementsasstipulatedinAnnexboftheBS9222:2007guidanceforthedurationofthe BSISO22222award(pleasenoteforCII/PFSmembersthisrequirementismet). Please tick

Signed

Date

CII Use

Date application recieved Any Special needs identification/actions taken Reviewer

Supplementary notes

Note one ­ The CII adheres to the Data Protection Act; further details may be found at: www.cii.co.uk/cii/about/re/pro_obligations/data_protection.aspx ApplicantsshouldensurethattheirDPAregistrationpermitsdisclosureofinformation totheCII.Suitablerecipientreferencesmayinclude: R404:Education&trainingestablishmentsandexaminingbodies R405:Businessassociates&otherprofessionaladvisers R408:Suppliers&providersofgoodsorservices R410:Financialorganisationsandadvisors R415:Trade,employerassociationsandprofessionalbodies Note two­Contractofservicesevidenceshouldincludetermsofbusinessletters, scopingdocumentsorothersuchcorrespondencewhichoutlinesthescopeofthe adviceprocessandthepracticesfollowedbythefinancialadvisortotheclient.In particulardetailsofhowremunerationisagreedshouldbeincluded. Note three­Applicant'semploymenthistoryshouldincludedetailsofallfinancial servicesrelatedemploymentandprovideacleartimelineofemploymentthroughout theapplicantscareerhistory,Anygapsinemploymentshouldbeexplained e.g.unemployed,unabletoworkduetoillness,sabbatical&activityundertaken duringbreaki.e.travelling,voluntarywork Note four­TheapplicantistoprovidedetailsofanyprofessionalbodyCodeofEthics towhichtheyadhere,examplesmayincludeCII,ACCA,CFP,PFS,IFPHK,ANZIIF. ReferenceshouldbemadetoAnnexboftheBS9222:20007guidanceformore information. Note five­Youaretoproviderecordsofcontinuousprofessionaldevelopment undertakenduringthepastthreeyears.Recordsmaybethosecompletedusingthe CIIon-lineCPDtool(www.cpd.cii.co.uk ­ CII members).Otherprofessionalformats areacceptableandatemplateguideisprovidedinAppendixone. Note six­Youaretosubmitcertifiedcopiesofprofessionalqualificationcertificates. Pleasenoteonlycertificatesrelatingtofinancialservicesneedbesubmitted.Copies ofcertificatesmaybecertifiedbytheDirectorofyourcompanyoranAssociateor FellowoftheCharteredInsuranceInstituteorPersonalFinanceSocietywhoshould statetheirPIN.Fulldetailsofthepersonverifyingtheevidenceshouldbeprovided includingname,jobtitle,employerandcontactdetails.PleasenotecopiesofCII certificatesarenotrequiredanddonotneedtobesubmitted. Note seven­WhereyouhavecentrallyproducedKeyPerformanceIndicatorsthese shouldbesubmittedwithyourapplicationform. Forapplicantswhodonothavethisinformationproducedasamatterofcourse performancestatisticsshouldbecollatedinordertosupportyourapplication.The BSISO22222standardsrequireevidencetodemonstratepersistency,spreadof business,complaints,implementation(howmanyclientstaketheadviceprovided), repeatbusinessandcompliance.FurtherdetailsmaybefoundintheBS9222:2007 guidancedocument Note eight­Evidenceofidentifyisrequiredandyouarerequiredtosubmitcertified copiesofappropriateIDi.e.passport,identifycard,photographicdrivinglicence. IDmaybecertifiedbytheDirectorofyourcompanyoranAssociateorFellowofthe CharteredInsuranceInstituteorPersonalFinanceSocietywhoshouldstatetheirPIN. Fulldetailsofthepersonverifyingtheevidenceshouldbeprovidedincludingname, jobtitle,employerandcontactdetails

Appendix one ­ Continuing Professional Development Evidence

PleasenoteotherformsofCPDlogareacceptablee.g.companyCPDrecords,CIICPDon-line.CPDlogsmustprovideevidenceofindividualCPDwhichmeets theapplicant'sindividualdevelopmentneeds. FurtherdetailsoftheCIICPDon-linetoolcanbefoundonwww.cpd.cii.co.uk/help/welcome.asp Name CPD Year e.g. 01 01 2007 - 2008 Date of activity & duration Date

Development area

e.g. technical knowledge, business knowledge, interpersonal skills

Development need

e.g. technical knowledge update, compliance update, skills development

Activity planned

e.g. seminar, training course, examination, coaching

Objective

e.g. to achieve examination success, to develop advice skills, to update technical knowledge

I confirm that I have completed the continuous professional development outlined above

Signed

CII:ISO001(07/08)

Date

Information

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