Having offered a compliance monitoring service since our launch in 2004, we have established a successful track record over the years for improving the compliance status of our clients.
Registered with the Financial Sector Conduct Authority (FSCA) as a compliance provider, we can be appointed as an external compliance officer. All our compliance officers are well trained and regularly write rigorous internal tests so our clients can be sure they are always in good hands.
Our compliance monitoring service for independent financial advisors includes a dedicated compliance officer who:
Further consultation and support which is available on request include:
FSPs with an internal compliance function can tap into our expertise and get an independent assessment of how effectively their internal compliance processes have addressed the compliance risks in their FSP. This service provides additional peace of mind.
Contact us to find out how we can assist with compliance monitoring for your FSP.
What a client had to say about our compliance service
“I would like to thank Masthead for the Compliance services they offer us. Masthead monitors the effect of the FAIS Act and the FIC Act on our business and assists us in complying with the necessary regulatory requirements, manages our compliance risks and strives to help us foster good relationships with our clients and with the regulators, so we can achieve our business goals. Masthead equips us with the skills to give our customers sound advice which reflects positively on our company. We are grateful to Masthead for walking the path, step by step, with us.”
Magriet Du Toit | Riebeeckstad Makelaars