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Overview

The financial services industry has become increasingly regulated over the years, resulting in a multitude of legislative requirements that financial services providers (FSPs) are required to meet. As a registered compliance company that interacts with the Financial Sector Conduct Authority (FSCA) on all industry matters, we assist independent financial advisors (IFAs) and larger FSPs to anticipate and meet these regulatory requirements. Focusing on process, quality and consistency, our goal is not only for our clients to attain full compliance and remain compliant into the future, but also to prosper.

This is achieved through our unique integrated risk management solution where we help clients focus on and improve in the fundamental areas of compliance and overall risk management. Running a successful and compliant business is therefore not just about excelling in one area of the business, but about the smooth integration and optimal running of key operational areas too.

Find out how we assist FSPs with compliance monitoring.

We also believe it is not regulation that will put financial advisors out of business, but rather the inability to adapt to change. Recognising this has shaped the way we deliver our services. We therefore don’t only look at current regulatory responsibilities (such as Treating Customers Fairly, FAIS and FICA), but also impending changes (such as the Retail Distribution Review) and provide practical assistance to ease financial advisors into the new regulatory world well ahead of time.

ANY QUERIES?

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OUR OFFERING

BENEFITS OF THE MASTHEAD FAIS COMPLIANT SEAL

This seal provides consumers with peace of mind, knowing that the accredited independent financial advisor (IFA) who displays this seal has been evaluated on the regulatory requirements set out by the Financial Sector Conduct Authority (FSCA), and has achieved an excellent standard of compliance.

Accreditation is re-evaluated every year and use of the seal is only renewed if the IFA maintains his/her high standard of compliance.

The seal provides consumers with a quick way to check if they are dealing with an IFA who conforms to regulatory requirements and, in this way, provides a level of assurance.

IN THE MEDIA

FSCA Shifts Gears on Omni – CBR Rollout

Posted on 12 June 2025

The Financial Sector Conduct Authority (FSCA) has released a key update: the rollout of the Conduct of Business Return (Omni-CBR) is changing direction. According to a communication issued yesterday, the Omni-CBR will no longer proceed as originally planned. Why the change? ...

COFI, TCF and Succession: How Sole Proprietors Can Plan for the Future

Posted on 2 June 2025

With the Conduct of Financial Institutions (COFI) Bill set to reshape the financial services industry, sole proprietor Financial Services Providers (FSPs) may want to reconsider their business structure. This article explores how converting to a private company, such as ...

Empowering IFAs Through Masthead’s ESD Programme: The Story of Griizmahn (Pty) Ltd

Posted on 6 February 2025

From building strong compliance practices to implementing effective management systems, the journey of Griizmahn (Pty) Ltd, a Durban-based financial service provider (FSP), highlights the impact of strategic support in helping independent financial advisors (IFAs) succeed. ...

What advisers need to know about regulatory examinations

Posted on 21 January 2025

Publisher: Citywire Written by Eleanor Becker Who needs to take them, why, and how to avoid being scammed. Regulatory examinations (REs) are essential to any financial adviser’s journey. Citywire South Africa looks at who needs to sit these exams and how to avoid being ...

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REGULATORY LIBRARY

FSCA Communication 12 of 2025- Update on the roll-out and implementation of the cross-sectoral Conduct of Business Return (OMNI-CBR) for financial institutions

FSCA Notices - 11 June 2025

FSCA Newsletter Q1 June 2025

FSCA Notices - 1 June 2025

FSCA Three-Year Rolling Financial Education Plan 2025-2028

FSCA Notices - 30 May 2025

Guideline 1 of 2025: Consequences of non-compliance with the director’s duties

CIPC - 13 May 2025

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WHO ARE WE

Established in 2004, Masthead (Pty) Ltd offers nationwide compliance and business support to independent financial advisors, corporate FSPs, credit providers, legal and property practitioners, and others. We help our clients navigate key regulations like FAIS, FICA, POPIA, and the National Credit Act. With a team of experts, we provide practical solutions across compliance, practice management, and business development to help businesses stay compliant and thrive. Masthead (Pty) Ltd is part of the Masthead Group, alongside Masthead Financial Planning (Pty) Ltd – a licensed FSP dedicated to supporting financial advisors with streamlined operational and regulatory solutions.

Why Masthead?

CONTACT US

Phone:

021 686 3588

E-mail:

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B-BBEE CERTIFICATE

Masthead is a level 1 B-BBEE contributor.

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