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FAIS COMPLIANT SEAL

We recognise independent financial advisors who achieve an excellent standard of compliance

The FAIS Compliant Seal confirms that Masthead conducted consecutive compliance monitoring visits at the business premises of the Financial Services Provider (FSP).  During these visits, the policies and procedures of the FSP were measured against the requirements set out in the FAIS Act (37) of 2002 (as amended) and sub-ordinate legislation as prescribed by the Financial Sector Conduct Authority (FSCA).  Where available, a sample of client files was selected and monitored to ensure that the FSP’s interaction with clients met the standards set out in the General Code of Conduct.

Masthead verifies that based on the monitoring conducted, the FSP has consistently maintained a high level of compliance with the procedures as prescribed in the FAIS Act (37) of 2002.  This verification is subject to annual review and Masthead retains the right to withdraw the usage thereof at any time.

Neither Masthead (Pty) Ltd nor the Compliance Officer verifies or underwrites the appropriateness, completeness or quality of the advice and/or products recommended by the FSP.

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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