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GB/T 23697-2009: Personal financial requirements of financial planners
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| GB/T 23697-2009 | English | 459 |
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Personal financial requirements of financial planners
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GB/T 23697-2009
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Basic data | Standard ID | GB/T 23697-2009 (GB/T23697-2009) | | Description (Translated English) | Personal financial requirements of financial planners | | Sector / Industry | National Standard (Recommended) | | Classification of Chinese Standard | A11 | | Classification of International Standard | 03.060 | | Word Count Estimation | 20,241 | | Date of Issue | 2009-05-06 | | Date of Implementation | 2009-10-01 | | Adopted Standard | ISO 22222-2005, MOD | | Regulation (derived from) | Announcement of Newly Approved National Standards No. 6, 2009 (No. 146 overall) | | Issuing agency(ies) | General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China, Standardization Administration of the People's Republic of China | | Summary | This standard defines the personal financial planning process and provides for financial planners professional ethics, professional capabilities and work experience requirements. This standard applies to all financial planners, without considering their professional status. This standard describes and explains the conduct financial planners various methods of conformity assessment, and provides for each method application requirements. | GB/T 23697-2009: Personal financial requirements of financial planners---This is a DRAFT version for illustration, not a final translation. Full copy of true-PDF in English version (including equations, symbols, images, flow-chart, tables, and figures etc.) will be manually/carefully translated upon your order.
Personal financial requirements of financial planners
ICS 03.060
A11
National Standards of People's Republic of China
Personal Finance Financial Planner Requirements
(ISO 22222.2005, MOD)
Posted 2009-05-06
2009-10-01 implementation
Administration of Quality Supervision, Inspection and Quarantine of People's Republic of China
Standardization Administration of China released
Table of Contents
Preface Ⅰ
Introduction Ⅱ
1 Scope 1
2 Normative references 1
3 Terms and definitions
4 Process 3
4.1 Financial Planning Process 3
4.2 to establish and define contract customers and financial planners relationship 3
4.3 collect customer information and determine the contract objectives and expected 3
4.4 Analysis of financial condition assessment contract customers 4
4.5 formulate financial planning book 4
4.6 implementation of the Financial Planning 4
4.7 Financial Planning trace execution 4
5 Ethics 4
5.1 Professional Conduct 4
5.2 Code of Ethics 5
6 professional capabilities 5
6.1 General practitioners the ability to claim 5
6.2 Special practitioner competencies 5
6.3 Initial verification capability practitioners 11
6.4 practitioners continued proficiency testing 13
7 13 years of experience
7.1 Overview 13
14 years experience in constituting 7.2
7.3 requires 14 years of experience
8 Declaration of Conformity 14
14 8.1 Statement of expression
14 8.2 Statement of scope
According to the statement of 14 8.3
Foreword
This revised standard adopts ISO 22222.2005 "Personal Finance Financial Planner Requirements" (in English).
This standard is based on ISO 22222.2005 redrafted, and ISO 22222.2005 is a technical difference.
Remove ISO 22222.2005 Annex A (informative). Scottish credit and qualifications framework (SCQF) description. Since the country
International standards in the appendix is \u200b\u200ban informative annex, and the Scottish credit and qualifications framework (SCQF) in the domestic application of rare, limited applicability, so I
To delete.
For ease of use, this standard also made the following editorial changes.
--- Use the "standard" instead of "this International Standard";
--- Remove ISO 22222.2005 Foreword by modifying the ISO 22222.2005 Introduction.
The standard proposed by the People's Bank of China.
This standard by the National Standardization Technical Committee on Finance.
This standard is drafted by. China Financial Computerization Corporation.
Participated in the drafting of this standard. People's Bank of China, China Development Bank, Agricultural Bank of China, Bank of China, Bank of Communications, China Everbright
bank.
The main drafters of this standard. baby Ping, Li Shuguang, Gu Shuhui, King Yun, Chen Min, Cheng Jun, Lin Song, Zhang Yan, Shen Wei, Liu Jianguo, Zhao Zhilan,
Liu Yun, Ma Xiaoqiong.
Introduction
The purpose of this standard is to develop in the personal finance field engaged in professional services provide a globally accepted benchmark. Personal Financial Regulation
Plan is to help customers achieve their financial goals in the process. Financial planners offer financial planning services to clients.
This standard provides for professional financial planners in ethical behavior, professional capabilities and work experience requirements.
This standard describes the various methods detailed requirements for financial planners and conformity assessment of each method. Financial Planner is a conformity assessment
A complex task, requiring knowledge, skills and professional experience can take place. Technical committee of the standard (represented by practitioners, on behalf of the industry
Tables and customer representatives) felt strongly that a credible independent third-party certification provides the most reliable method of conformity assessment, it is possible to achieve
Protect the customer's purpose.
Therefore, the technical committee recommends that customers find that they are able to prove through independent third party certification bodies for conformity assessment of financial planners
To provide services. The certification body shall comply with GB/T 27024 requirements.
Personal Finance Financial Planner Requirements
1 Scope
This standard defines the personal financial planning process and provides for a financial planner professional ethics, professional capabilities and other aspects of the work experience
Claim.
This standard applies to all financial planners, irrespective of their professional status.
This standard describes and explains the various methods of conformity assessment of financial planners, and provides the application requirements of each method.
2 Normative references
The following documents contain provisions which, through reference in this standard and become the standard terms. For dated references, subsequent
Amendments (not including errata content) or revisions do not apply to this standard, however, encourage the parties to the agreement are based on research
Whether the latest versions of these documents. For undated reference documents, the latest versions apply to this standard.
GB/T 27024 Personnel Certification of conformity assessment bodies General requirements (GB/T 27024-2004, ISO /IEC 17024.2003,
IDT)
ISO /IEC 17000 Conformity assessment - Vocabulary and general principles
ISO /IEC 17050 (all parts) conformity assessment supplier's declaration of conformity
3 Terms and Definitions
ISO /IEC 17000, GB/T 27024 and established in the following terms and definitions apply to this standard.
3.1
Broadly aware of and understand the basic thematic content, but experts do not expect to reach the depth of subject areas.
3.2
Documented by an independent third party certification body.
3.3
4.2.3 to accept the terms described customers.
3.4
Level of thinking and understanding can be achieved.
NOTE. Refer to 6.2 level thinking.
3.5
Execution of products, processes, systems, people, institutions specialized requirements verification. [ISO /IEC 17000]
Note. Conformity assessment includes testing, inspection and certification activities, and assessment mechanism that qualified.
3.6
Shared financial interests of individuals or a group of individuals.
Note. The family can be seen as a group of individuals.
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