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How to create an effective Operations Manual for your FSP


We will identify all policies and processes that FSPs need to document and include in their Operations Manual – there are more than 60.

We will provide you with a detailed breakdown of the regulatory information that must be included in each policy and process.

We will explain the steps you need to follow and show you how to compile each document.

We will demonstrate how you can set up your policies and processes to deliver value to clients, ensure clients feel they are being treated fairly as well as improve your operational efficiency.

What will be covered:

Policies and processes that we will be working through during the session include:

  • All 17 policies, procedures and processes that make up the Governance Framework
  • 6 Human Resources
  • 5 Financial Planning (covering initial and review meetings)
  • 8 New Business Processes
  • 3 New Business (short term)
  • 8 Client Processes including claims, surveys, complaints, segmentation, etc.

And many more.

CPD hours:

  • FSPs, Key Individuals and Representatives will earn 7 CPD hours towards maintaining their competence requirements.
  • FPI members will be able to earn 2.5 CPD hours in the Ethics and Practice Standards category and 4.5 CPD hours in the Knowledge category.

Interested in attending this webinar or face-to-face seminar?

Click on the links below to register or browse dates for this webinar and seminar.

Webinars   |   Face-to-face seminars 

If you would like to arrange this webinar specifically customised for your business, contact the Masthead Regional Office closest to you.

How will attendees benefit

  • You will be able to create a customised Operations Manual using the tools, templates and guidelines provided to you.
  • You will have a thorough understanding of the policies and processes that must be included in your Operations Manual.
  • You will have a good grasp of the regulatory requirements applicable to the Operations Manual.
  • By creating an Operations Manual, you will improve efficiencies, reduce risk in your business, improve staff morale and increase customer satisfaction.

Accredited by the Financial Planning Institute of Southern Africa (FPI)


A national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs). Established in 2004, we help our clients overcome their risk management challenges so they can grow and thrive in an increasingly regulated industry. Providing professional guidance and practical support, our team of specialists is passionately committed to delivering tangible solutions.

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Masthead is a level 1 B-BBEE contributor.

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