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Experience & Hands-on Expertise

to help you manage your business risks

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

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 ...

Masthead Hosts MasterClass to Help Businesses Future-Proof Their Operations

Posted on 28 October 2024

From Omni-CBR (Conduct of Business Return) insights to succession planning, Masthead’s Cape Town MasterClass, Future-Proof Your Business: Gain Insights into Tomorrow’s Challenges, provided independent financial advisors (IFAs) with valuable lessons on navigating an evolving ...

Key Individual Programme© – How to start your own FSP

Posted on 4 September 2024

Starting your own financial services provider (FSP) practice is an exciting venture that allows you to be your own boss, set your own hours and offer bespoke advice to your clients. However, opening your own business and applying for a FSP licence can be complex and time-consuming. ...

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REGULATORY LIBRARY

Media Statement: Regulator launches online reporting platform for security compromises

POPI/Information Regulator - 7 April 2025

Directive 3A – Notification of failure to report as required by the FIC in terms of the FICA

FIC/AML - 31 March 2025

PCC 50A – Guidance on the measures required for the mitigation of loss of intelligence data due to reporting failures

FIC/AML - 31 March 2025

Invitation to submit the 2024/2025 financial year annual reports in respect of access to information requests received & processed by the public and private bodies.

POPI/Information Regulator - 6 March 2025

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MASTHEAD IS

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.

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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