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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

The Two-pot System – New challenges for advisors

Posted on 16 September 2026

By Janine Yoko, Masthead Compliance Consultant The two-pot retirement system has made it easier for consumers to access a portion of their retirement savings, but it has also created new challenges for advisors. This article looks at the advice, disclosure and compliance ...

COFI and Alternative Investment Managers – What’s Changing?

Posted on 26 August 2026

By Ignatius Jacobs, Masthead Regional Manager – KwaZulu-Natal, and Ryno Volschenk, Masthead Regional Manager – Johannesburg Many alternative investment managers have watched the development of COFI from the sidelines. However, the proposed legislation may have far greater ...

How to Avoid Overcharging – Practical Advice for Credit Providers

Posted on 21 August 2026

By Adele Naidoo, Masthead Compliance Consultant Understanding how to calculate interest and fees is essential for credit providers to maintain compliance. This article draws on regulatory trends to highlight common areas of confusion and offers practical insights on avoiding ...

COFI Licensing – What Financial Institutions Need to Know Now

Posted on 1 July 2026

By Joleen John, Masthead Group MD COFI will bring significant changes to the way financial institutions are licensed, moving towards an activity-based framework. Here’s what financial institutions need to know about the proposed changes, what they could mean for existing ...

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REGULATORY LIBRARY

FIC Directive 12 on submission of the RMCP

FIC/AML - 4 September 2026

FSCA Regulatory Actions Report 2025/2026

FSCA Notices - 31 July 2026

CMScript 5 of 2026: Lupus & other auto-immune Conditions

Health - 22 June 2026

Joint Communication 4 of 2026: Crypto assets for domestic payment purposes

Crypto Assets - 28 May 2026

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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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Masthead is a level 1 B-BBEE contributor.

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Masthead is ISO27001 certified.

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