BS ISO 22222 Personal Financial Planner

Certification Application Form

Applicant details
Mr/Mrs/Miss/Ms Surname

Forenames

Address

Postcode Country

E-mail
Employer name

and address

Postcode Country

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

Summary of your current role and the financial planning advice you are providing.
You should include details relating to your provision of tax planning, estate planning, investment advice, retirement advice and identifying financial goals
and objectives. You should show how you incorporate your expertise in these areas to develop and manage a holistic financial plan for your clients.
Applicant evidence
Client files
As part of the certification review a selection of your client files will be reviewed and you will be asked further questions as part of the assessment.
The files should be your own work and completed within the last six months.
At this stage you should provide the client references for all client files completed in the last 12 months and list them against the following categories
of advice (please attach additional information where necessary). You will be advised which files are to be reviewed on the day of your assessment so
you should ensure your files are easily accessible. The CII is a registered data handler under the DPA; applicants are required to ensure that their DPA
registration permits disclosure of information to the CII – see note one.

Advice Client reference Keys areas recommended CII use

Protection

Investments

Pension

Estate Planning

Examples:

Estate planning Smith A Discounted Gift Scheme; will planning

Pension Jones P SSIP/property purchase

Please attach the following information Please tick

Contract of services, for example terms of business letters, scoping documents – note two

Copy of your CV or employment history – note three

Copy of the Code of Ethics you adhere to, for example CII, PFS, ACCA, CFA, IFP – note four

Copy of your continuous professional development records from the last three years – note five (appendix one)

Copy of your relevant (financial services) qualification certificates – note six

Copy of your KPIs for the last three years – note seven

Please provide details of professional body membership, including title, head office location and web address:

Professional Body Membership details

Please provide evidence of any external validation of your advice process
For example, local regulatory inspections, internal compliance checking procedures or professional examination success. When using examination evidence,
please provide the name and address details of the examining body.

Applicant declaration
Please attach the following: Please tick
Copy of your certified identification e.g. passport – note eight

Certification fee enclosed

The Certification period is five years and is subject to annual surveillance. An annual surveillance fee is applicable.
Please contact CII Customer Services for latest fee information. www.cii.co.uk/accreditation

I the undersigned applicant confirm that all evidence submitted and permissions granted are true and valid. By virtue of submitting the application I permit
the Chartered Insurance Institute to investigate the necessary information in order to confirm that I meet the BS ISO 22222 certification standard.
I agree to comply with a code of ethics which meets the requirements as stipulated in Annex b of the BS 9222:2007 guidance for the duration of the
BS ISO 22222 award (please note for CII/PFS members this requirement is met).

Signed Date

CII Use
Date application recieved Reviewer

Any Special needs identification/actions taken

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
Applicants should ensure that their DPA registration permits disclosure of information
to the CII. Suitable recipient references may include:
R404: Education & training establishments and examining bodies
R405: Business associates & other professional advisers
R408: Suppliers & providers of goods or services
R410: Financial organisations and advisors
R415: Trade, employer associations and professional bodies
Note two – Contract of services evidence should include terms of business letters,
scoping documents or other such correspondence which outlines the scope of the
advice process and the practices followed by the financial advisor to the client. In
particular details of how remuneration is agreed should be included.
Note three – Applicant’s employment history should include details of all financial
services related employment and provide a clear timeline of employment throughout
the applicants career history, Any gaps in employment should be explained repeat business and compliance. Further details may be found in the BS9222:2007
e.g. unemployed, unable to work due to illness, sabbatical & activity undertaken
during break i.e. travelling, voluntary work
Note four – The applicant is to provide details of any professional body Code of Ethics
to which they adhere, examples may include CII, ACCA, CFP, PFS, IFPHK, ANZIIF.
Reference should be made to Annex b of the BS 9222:20007 guidance for more
information.
Appendix one – Continuing Professional Development Evidence
Please note other forms of CPD log are acceptable e.g. company CPD records, CII CPD on-line. CPD logs must provide evidence of individual CPD which meets
the applicant’s individual development needs.
Further details of the CII CPD on-line tool can be found on www.cpd.cii.co.uk/help/welcome.asp
Name Date
CPD Year e.g. 01 01 2007 - 2008
Development area Development need Activity planned
e.g. technical knowledge, e.g. technical knowledge e.g. seminar, training course,
business knowledge, update, compliance update, examination, coaching
interpersonal skills skills development
I confirm that I have completed the continuous professional development outlined above
Signed Date
CII: ISO001 (07/08)
Note five – You are to provide records of continuous professional development
undertaken during the past three years. Records may be those completed using the
CII on-line CPD tool (www.cpd.cii.co.uk – CII members). Other professional formats
are acceptable and a template guide is provided in Appendix one.
Note six – You are to submit certified copies of professional qualification certificates.
Please note only certificates relating to financial services need be submitted. Copies
of certificates may be certified by the Director of your company or an Associate or
Fellow of the Chartered Insurance Institute or Personal Finance Society who should
state their PIN. Full details of the person verifying the evidence should be provided
including name, job title, employer and contact details. Please note copies of CII
certificates are not required and do not need to be submitted.
Note seven – Where you have centrally produced Key Performance Indicators these
should be submitted with your application form.
For applicants who do not have this information produced as a matter of course
performance statistics should be collated in order to support your application. The
BS ISO 22222 standards require evidence to demonstrate persistency, spread of
business, complaints, implementation (how many clients take the advice provided),
guidance document
Note eight – Evidence of identify is required and you are required to submit certified
copies of appropriate ID i.e. passport, identify card, photographic driving licence.
ID may be certified by the Director of your company or an Associate or Fellow of the
Chartered Insurance Institute or Personal Finance Society who should state their PIN.
Full details of the person verifying the evidence should be provided including name,
job title, employer and contact details
Date of activity
Objective
& duration
e.g. to achieve examination success, to develop
advice skills, to update technical knowledge