Masthead > For Advisors > Compliance for IFAs

 Compliance for IFAs  

Click here to read about Masthead's Code of Conduct 

Click here to read about Masthead's FAIS Compliant Seal and the benefits of using it.

Masthead provides Compliance services to Independent Financial Advisors.

How is it delivered?

Each Advisor is allocated an FSB approved Compliance Officer and will receive the following:

  • quarterly onsite assessments 
  • quarterly reports with recommended remedial action (where necessary)
  • regular reviews of the Advisor's Risk Management Plan
  • an annual FAIS compliance report submitted to the FSB
  • regular compliance updates and newsletters
  • customised templates for Advisors to use in their business

Do you want to apply for an FSP licence? 

Masthead can assist you.

The process of applying for an FSP licence can become quite drawn out if you are unfamiliar with the forms and procedures.  Most delays are due to the applicant not completing the forms correctly. 

Masthead has been providing this service for many years now, and through our hands-on experience we are able to make your FSP application process a hassle-free one. 

Our experienced team of compliance experts will:

  • consult with you to identify your requirements i.e. categories and sub-categories,
  • assist you in compiling supporting documents (e.g. business plans etc)
  • and submit your application to the FSB

While assessing the application, it is common practice for the FSB to ask for additional information which they will use to decide whether or not to grant the licence.  To speed up this process and to give you the best chance of getting your licence approved, Masthead will provide you with hands-on assistance in dealing with all FSB queries.

Profile changes to an existing FSP licence

Profile changes such as changes to the FSP name and adding or removing of Key Individuals must also be submitted to the FSB for approval.  There is a formal process that needs to be followed and Masthead can assist you by completing the required documentation and handling any queries.

For more information about these services, email